(navigation image)
Home American Libraries | Canadian Libraries | Universal Library | Community Texts | Project Gutenberg | Children's Library | Biodiversity Heritage Library | Additional Collections
Search: Advanced Search
Anonymous User (login or join us)
Upload
See other formats

Full text of "Federal Administrative Law Judge Hearings: Statistical Report for 1976-1978"

FEDERAL 

ADMINISTRATIVE 

LAW 

JUDGE 

HEARINGS 

Statistical Report for 1976—1978 



Uniform Caseload Accounting System 
Office of the Chairman 

Administrative Conference of the United States 
July 1980 




FEDERAL 

ADMINISTRATIVE 

LAW 

JUDGE 

HEARINGS 

Statistical Report for 1976—1978 



t 



Uniform Caseload Accounting System 
Office of the Chairman 

Administrative Conference of the United States 
July 1980 







FEDERAL 

ADMINISTRATIVE 

LAW 

JUDGE 

HEARINGS 

Statistical Report for 1976—1978 



^ 



Uniform Caseload Accounting System 
Office of the Chairman 

Administrative Conference of the United States 
July 1980 



For sale by the Superintendent of Documents, D.S. Government Printing Office 

WashinKton, D.C. 20402 



FOREWORD 



In I 977, the Office of the Chairman of the Adnninistrative Conference 
published the first report of its Uniform Caseload Accounting System, 
covering formal administrative proceedings at 23 Federal agencies for 
fiscal year 1975. This report builds on that initial report by covering 28 
agencies and three years— fiscal years 1 976- 1 978. It represents the 
culmination of an arduous effort to assemble useful statistics on 
administrative proceedings in a manner similar to that used for many years 
to collect statistics on Federal court coses. 

This publication contains the only existing inventory of formal 
proceedings at the Federal agencies. For that reason alone, I believe it to 
be a significant contribution to public understanding of the Government's 
regulatory activities. But its more important goal is to provide information 
on how long it takes agencies to decide these cases. Performance 
comparisons among types of cases and among agencies, if done carefully, 
and with a sensitivity to procedural and substantive differences, can be 
crucial in identifying undue delays. I am confident that those of us who 
seek to improve the fairness and efficiency of agency hearing and review 
procedures will be materially aided in planning our reform efforts by the 
data contained in this report. 

When the Uniform Caseload Accounting System was developed under 
former Chairmen Antonin Scalia and Robert Anthony, it was intended as a 
three-to-five year "pilot project". The Conference has received much 
encouragement in this effort, but now is the time for a reckoning of the 
project's long-term goals and the Conference's ability to meet those goals. 
1 hope that users of this report will help by sending in their comments and 
suggestions. 



Stephen L. Babcock 

Executive Director 

Administrative Conference 

of the United States 



Address all comments to: 

Uniform Caseload Accounting System 
Administrative Conference of the United States 
2120 L Street, N. W., Suite 500 
Washington, D. C. 20037 



ACKNOWLEDGMENTS 



This report of the Administrative Conference's Uniform Caseload 
Accounting System for fiscal years 1976—1978 is the result of the 
cooperative efforts of many persons. The principal coordinator of the 
entire project and author of the text has been Jeffrey Lubbers, Senior Staff 
Attorney, The data processing effort for the derivation of most of the 
statistics in this report was directed by David Pritzker. 

Others who provided invaluable assistance during the pendency of this 
project were staff attorney William Bush, whose organizational skills 
helped coax this manuscript out of the word-processor; law students Sally 
Pfund and Janet Nash, who coded data cards, transcribed numbers and 
produced charts with insight, diligence and unfailing good. humor; Sharon 
Anderson for typing; and Kathy Tyson for proofreading assistance. 

We also wish to thank the many agency Administrative Law Judges and 
docket personnel, without whose cooperation this report would not have 
been possible. 

Finally, we wish to acknowledge responsibility for any errors in this 
publication, either in the text or in the transcription of the statistics. 



Jeffrey S. Lubbers 
Senior Staff Attorney 



David M. Pritzker 
Staff Attorney 



July 1980 



CONTENTS 



Page 
Preface — The Uniform Caseload Accounting System I 



Chapter I — The Administrative Law Judge 7 

Appendix A — Number of ALJs by Agency 21 

Appendix B — Selected Bibliography: Materials on ALJs 22 



Chapter II — Data Gathering Methods 25 

Appendix — The Reporting Card 29 



Chapter HI — Statistics for Fiscal Years 1976-1978 31 

All agencies 33 

Agriculture, Depart nnent of 34 

Alcohol, Tobacco and Firearms, Bureau of (Dept. of the Treasury) ..... 62 

Civil Aeronautics Board 74 

Commodity Futures Trading Commission 88 

Consumer Product Safety Commission 89 

Drug Enforcement Administration {Dept. of Justice) 95 

Environmental Protection Agency 1 05 

Federal Communications Commission 112 

Federal Energy Regulatory Commission 1 28 

Federal Maritime Commission 144 

Federal Mine Safety and Health Review Commission 1 58 

Federal Trade Commission 159 

Food and Drug Administration (Dept. of H.E.W.) 164 

Housing and Urban Development, Department of 170 

Interior, Department of the 1 84 

Interstate Commerce Commission 204 

Labor, Department of 230 

Maritime Administration (Dept. of Commerce) 263 

National Labor Relations Board 272 

National Transportation Safety Board ....,.* 277 

Nuclear Regulatory Commission , 282 

Occupational Safety and Health Review Commission 294 

Securities and Exchange Commission 296 

Social Security Administration (Dept. of H.E.W.) 317 

U. S. Civil Service Commission ; 332 

U. S. Coast Guard (Dept. of Transportation) 346 

U. S. International Trade Commission 361 

U. S, Postal Service 365 



PREFACE; THE UNIFORM CASELOAD ACCOUMTING SYSTEM 



Each year Federal agencies (including botii 
executive departments and independent agencies) make 
hundreds of thousands of administrative decisions that 
directly affect rights and obligations of private 
persons. The Administrative Procedure Act in many 
instances requires that agencies hold formal hearings of 
record before final decisions are reached. The various 
agencies employ about 1100 administrative law judges 
(ALJs) to conduct such formal proceedings. As the 
following report shows, formal hearing procedures are 
employed in an enormously wide range of decisional 
matters; from simple disciplinary actions against 
individuals who have abused horses to complicated 
airline route certification cases. There are great 
differences, both within and among agencies, in the 
complexity of issues and the processing time associated 
with various types of proceedings. 

The Uniform Caseload Accounting System is 
designed to bring together, in one document, significant 
statistical information about these cases. As an ongoing 
data collection project, the system is designed to help 
agencies to work for more expeditious disposition of 
their formal decision-making responsibilities by 
assisting them in the identification of areas of avoidable 
delay. 



STATISTICS ON ADMINISTRATIVE PROCEEDINGS- 
HISTORICAL BACKGROUND 

Extensive statistics on the Federal courts have been 
systematically collected and disseminated since 1940 in 
the annual reports of the Director of the Administrative 
Office of the U.S. Courts. The Office's efforts are 
supervised by the Judicial Conference of the United 
States, which exercises comprehensive administrative 
direction over the Federal courts. Moreover, in 1968, 
the Federal Judicial Center was created to serve as a 
research arm of the courts. The Center makes 
extensive use of the statistics gathered by the 
Administrative Office. 

The success of the courts' statistical program has 
led to several efforts to collect similar statistics on 
administrative proceedings, but these efforts have never 
achieved the consistency or continuity of the 
Administrative Office's system. The first continuing 
compilation was initiated in 1957 by the Office of 
Administrative Procedure, a unit then existing in the 
Department of Justice, which undertook a compilation 
of statistics relating to formal proceedings conducted 



by ALJs (then called "hearing examiners") in those 
agencies that regularly employed ALJs. Annual reports 
were issued for fiscal years 1957, 1958, and 1959. The 
1 959 report (page 9) stated: 

In the brief experience of the Office of 
Administrative Procedure its statistics on 
administrative proceedings have received 
widespread acceptance and have been an 
indispensable aid in studying agency process. 

In 1960, with the change in administrations. 
President Kennedy named Dean James M. Landis to 
prepare for him a report on the Federal independent 
regulatory agencies and their problems. In this report. 
Dean Landis took note of the increased interest in a 
permanent conference on administrative procedure 
modeled after President Eisenhower's Conference on 
Administrative Procedure (1953—1955). Landis 

recommended that advocates (led by Judge E. Barrett 
Prettyman of the U.S. Court of Appeals for the District 
of Columbia Circuit) of a permanent conference be 
supported. Dean Landis stated: 

Much can come from this effort including not 
merely revisions in our administrative 
procedures, but also the making of our 
regulatory agencies into a system just as the 
Judicial Conference of the United States has 
made a system of what were once isolated and 
individual federal courts. . . . For a conference 
of this type to be effective it is essential that a 
permanent secretariat be established .... 

More specifically, he urged that 

The work and functions now lodged in the 
Office of Administrative Procedure in the 
Department of Justice should be transferred to 
this secretariat, for the statistics can there be 
refined and reworked so as to make them 
significant to the operations of the conference. 

(Landis, Report on the Regulatory Agencies to the 
President-Elect, p. 73 (Senate Comm. on the Judiciary, 
Committee Print I960).) 

In response to the Landis Report, President Kennedy 
in March 1961 issued an Executive Order establishing 
the "Administrative Conference of the United States." 
It was a temporary conference— its lifespan fixed at 18 
months— composed of members from the private sector 
as well as from the agencies, with a small full-time 
staff, and funds appropriated by Congress. 

Once established, the Conference took over the 
statistical work started by the Office of Administrative 
Procedure. Indeed, the Conference's first formal 
recommendation was to continue this effort. The 
activity was directed by the Conference's Committee on 



Statistics and Reports and resulted in the publication of 
two volumes of statistics for fiscal year 1961, listing 
the types of formal proceedings conducted by Federal 
agencies and providing caseload, backlog, and elapsed 
time data for these cases. The Conference later 
compiled the same data (in one volume) for fiscal year 
1962. 

The 1961 and 1962 reports were more ambitious 
than the earlier 1957—1959 reports of the Department 
of Justice. The earlier reports had been limited to 
cases involving ALJs at those agencies regularly 
employing them. The Conference reports published 
information for all proceedings involving oral hearings 
with verbatim transcripts. 

Furthermore, the Conference reports contained a 
computer print-out of raw data on elapsed time for each 
individual case closed in the year. Although the reports 
continued the service of cataloguing, citing and 
describing the Federal government's formal proceedings, 
their attempt to present all the raw data for each case 
may have been too ambitious, because the reports were 
bulky, lacking in textual aid, and therefore very 
difficult to use and disseminate. 

Before the temporary Conference disbanded, it 
adopted a recommendation which urged that the 
statistics-gathering function performed by the 
Conference be continued, expanded, and improved upon 
by the Office of Administrative Procedure or some 
other office created for the purpose. Further, it 
recommended that sufficient additional research and 
study be undertaken to develop meaningful categories of 
administrative proceedings comparable to those 
developed by the Administrative Office of the U.S. 
Courts relating to judicial proceedings. Finally, it 
called for study of the data-gathering systems used by 
the various agencies and for consideration of the 
feasibility of establishing a central statistical data 
processing system available to all agencies. 

After the temporary Conference had disbanded, the 
Senate Judiciary Subcommittee on Administrative 
Practice and Procedure, in cooperation with the Office 
of Administrative Procedure, published one additional 
report for fiscal year 1 963, and held for processing the 
raw data for the years 1964 and 1965 in anticipation of 
the organization of the permanent Administrative 
Conference, which was established by statute in 1964. 
When the permanent Administrative Conference of the 
United States (ACUS) was finally organized in January 
1968, the Office of the Chairman compiled the raw data 
along the lines of the 1961 — 1962 reports into a massive 
compendium for 1961—1966. These data were kept on 
file for the use of the committees and consultants of 
the Conference, but budget limitations precluded their 



publication or dissemination. The 1961 — 1966 

compilation suffered the same defects of bulk and 
inaccessibility which plagued the 1961 — 1962 reports. 

Along with format problems, these statistical . 
efforts suffered from a lack of consistent oversight as 
they passed from the Department of Justice, to the 
temporary Conference, to a Congressional 
subcommittee, and then, after a two-year delay, to the 
permanent Administrative Conference. Because 

widespread dissemination, or even systematic 
distribution to the participating agencies, was never 
undertaken due to budgetary constraints, the utility of 
the statistics was never appraised on the basis of any 
comments from the agencies, the bar, the scholarly 
community, or the public. 

In 1969, the Administrative Conference of the U.S. 
again took up the subject of collection of statistics on 
administrative proceedings. Under its enabling act, the 
Conference is specifically empowered to collect and 
publish such statistics from administrative agencies as 
it considers useful. (See 5 U.S.C. 574(3)) Given the 
experience of the previous decdde, the Conference this 
time opted for fostering the development of basic 
statistical data by the agencies themselves. In 
Recommendation 69-6 ACUS urged agencies to maintain 
statistics that would show: 

a) the number and kinds of proceedings that are 
opened, terminated, and pending during the 
year; 

b) the number of days which elapsed during each 
significant step of proceedings concluded during 
the year; and 

c) the manner in which such cases were closed. 

The effect of this recommendation was to leave the 
initiative for gathering statistics to the agencies that 
conducted the administrative proceedings. In 1971, the 
Office of the Chairman made a general call on agencies 
to submit their current caseload statistics in order that 
the figures could be consolidated and published. 
However, it was determined that there was so little 
uniformity in the separately developed data, that they 
could not be presented in any uniform or consistent 
format. For example, some agencies supplied data on a 
calendar year basis; others did so on a fiscal year 
basis. These data were never published. 

By 1 973 only five agencies were deemed to have 
met the standards for data collection and publication 
set by Recommendation 69-6. In that year, the 
Conference commissioned Norbert Halloran, a 
management specialist with the Administrative Office 
of the U.S. Courts,' to develop a uniform method of 



caseload accounting which would not unduly burden the 
participating agencies. Mr. Halloran prepared a 
management study report entitled "Federal Agency 
Hearings: A Proposed Caseload Accounting System", 
and by July 1, 1974, the data collection process as 
envisioned by that report was initiated. 

In October 1977 the Office of the Chairman 
published the first report of its Uniform Caseload 
Accounting System, covering fiscal year 1 975. The 
present report, the second in the series, covers fiscal 
years 1976-1978. 



THE UNIFORM CASELOAD ACCOUNTING SYSTEM 
Unlike the data collection efforts of the !960's, this 
system is geared to one constant factor— the involve- 
ment of an administrative law judge. Like the original 
effort of the Department of Justice in the late I950's, 
data were sought only from those agencies which 
employ at least one ALJ on a permanent basis (28 
agencies by fiscal year 1978). Each of those agencies 
was asked to report on all its decision-making 
proceedings that are characterized by the opportunity 
for a hearing before an ALJ. Most such proceedings are 
classified as formal adjudications under the 
Administrative Procedure Act; a few agencies also 
conduct formal rulemaking proceedings presided over by 
an ALJ. 

The agencies were asked to report on all cases 
opened, closed, or pending during fiscal years 1976— 
1978, and to categorize their types of cases in a way 
that was most meaningful to the agency. For the most 
part, cases were categorized according to the governing 
statute, but some agencies differentiated between types 
of cases according to procedural characteristics or to 
the division initiating the case within the agency. This 
compilation of categories of formal proceedings, 
classified by agencies, was one of the most useful 
features of the FY 1975 publication, and it has been 
continued herein. For each category there is provided a 
thumbnail description of the case type, citations to the 
governing statutes, and a citation to the applicable 
agency rules of practice or procedure in the Code of 
Federal Regulations. 

Three agencies (Interstate Commerce Commission, 
National Labor Relations Board, and Social Security 
Administration) supplied pre-tabulated data from their 
own computer-based case-management systems. A 
number of others also provided manually pretabulated 
caseload information to us. Most agencies, however, 
provided data on each case by means of a uniform 
reporting card designed by Mr. Halloran. The card and 



the reporting arrangements are dicussed more fully in 
Chapter 11. 

Tabulations of data taken from these cards, along 
with the pre-tabulated data submitted by the other 
agencies, form the basis for the statistics presented in 
this report. Completeness, accuracy, and timeliness of 
data-gathering have depended on the interest and 
cooperation of the ALJs, their staffs, and the agency 
docket-section personnel who have been completing and 
sending in the cards. With so many participating 
agencies and so many varying procedures involved, 
problems inevitably occurred. Those that bear on the 
statistics presented In this report are described in 
Chapter II of this report. 



WHY COLLECT AND PUBLISH THESE STATISTICS? 

In 1974, when Norbert Halloran designed the 
Uniform Caseload Accounting System, he proposed that 
the system be operated for a trial period of from three 
to five years. Any assessment of the system's utility or 
even the usefulness of this report will depend in part on 
comments from the agencies and from persons 
interested in agency performance of formal adjudicative 
functions. Nonetheless, it may be helpful to suggest 
what we believe to be the potentialities of the system, 
some of which may be partly realized by the publication 
of this report, others of which will not be realized until 
the system is refined, and still others of which will not 
be realized without an increase in the resources 
available to the system and a commitment by the 
participating agencies to give the submission of data to 
the system a higher priority than they have to date. 

The report constitutes a unique source of 
information on the types, volumes, and processing times 
of formal adjudications undertaken by agencies and 
departments of the Federal government. The mere 
availability of a government-wide inventory of formal 
adjudications undertaken by these agencies and 
departments provides a reference for those who 
participate in the quest to improve Federal agency 
procedures, whether through procedural reform or 
reorganization. Making such data available in one 
document should prove helpful to any agency that 
wishes to learn more about functions of other agencies 
which are analogous to its own, to the Congress in its 
capacity as overseer of Federal agencies and the 
programs they administer, and to the Office of 
Personnel Management in its role as overseer of the 
ALJ program. Furthermore, these statistics should 
prove useful to the Administrative Conference in its 
mandated role of promoting improvements in 
administrative procedure. The Conference already has 



made significant recommendations for procedural 
improvement in agency forma! adjudication (e.g., the 
Increased use of summary decision tecinniques, pre-trial 
discovery, subpoena power, intermediate appellate 
review boards, and discretionary review by the 
agency). Further development of these statistics should 
provide necessary data for evaluation of the impact of 
such recommended procedural improvements. 

The most consequential goal for this system rests on 
a hypothesis advanced by Norbert Halloran in his 
prospectus for the system to the effect that since 
caseload accounting has been useful for the Federal 
judiciary, it should be no less useful to the 
administrative judiciary as well. 

The system developed by the Administrative Office 
of the U.S. Courts for collection of court statistics did 
indeed provide the model for the system now employed 
by the Administrative Conference. The Federal court 
statistics are compiled from a stream of individual 
case-opened and case-closed card reports. (In calendar 
year 1978 the number of filings in Federal district court 
exceeded 1 75,000 cases.) However, the system has been 
modified to tal<e account of important differences 
between court cases and administrative cases. ALJs 
and Federal court judges operate within substantially 
different circumstances, and these differences must be 
taken into account in both the collection of data and the 
use of the resulting statistics on agency proceedings. 
The data collection must reflect the entire agency 
decisional process, not just the formal hearing stage. 
Any use of the statistics must involve an understanding 
of the distinct role of the ALJ, not only in comparison 
to Federal judges, but also in relation to the functioning 
of the particular agency, as well as an understanding of 
the procedural distinctiveness of the class of case for 
which the statistics are given. 

In Mr. Halloran's words, "while the civil court case 
might be considered a one act drama, the administrative 
case unfolds in three acts": 

Act I, Administrative actions prior to formal 
proceedings (the prehearing stage) 

This stage is triggered by the agency's first 
investigative action or by a petitioner's inquiry, 
application or complaint. It may require 
extensive legal work or technical research by a 
field organization, technical bureau, or separate 
legal or investigatory staff. It ends when the 
agency — usually the staff of the Board or 
Commission—formally refers the case to the 
office of ALJs. Unlike a civil court case, which 
is under almost complete control of the judge 
from its inception, the administrative case has 
been shaped by the agency itself. In some 
instances, the issues for decision are specified 
or at least circumscribed, by the agency before 
the ALJ receives the case. 



Act II. Formal proceedings (the hearing stage) 

In most agencies, once a case is assigned to 
an ALJ, he or she will bear sole responsibility to 
rule on preliminary motions, conduct a pre- 
hearing conference, control the hearing (which 
may include written and/or oral testimony and 
cross-examination), review the briefs, and 
prepare and issue an initial decision in the case 
along with extensive written findings and 
conclusions. 

Act III. Agency review of ALJ decisions (the 
postheoring stage) 

This stage begins when the Al I releases a 

decision and ends when all agency review 
functions, possibly including an oral argument 
before the reviewing authority, are completed 
and the agency issues its final decision. Review 
is usually by the Board, Commission or single 
Administrator that heads the agency, but some 
agencies delegate some review authority to 
subpanels of their members or to intermediate 
review boards or officers. In a few agencies 
final review authority is delegated to a special 
review board, e.g.. Department of Interior 
(various Appeals Boards), Social Security 
Administration (Appeals Council), and 
Department of Labor (Benefits Review Board). 

We do not blithely accept the premise that the use 
of caseload accounting in the Federal judiciary can be 
wholly transferred to the administrative arena, but we 
do find an encouraging lesson in its successful 
application as a tool in court administration. Mr. 
Halloran, in a section of his report headed "Relevance 
of Court Statistics to Agency Proceedings," outlined 
three ways that the Federal judiciary employs court 
statistics: 

a) to gauge workload conditions and the currency 
of dockets in individual courts; 

b) to support management decisions relating to 
new judgeship requests, assignment of visiting 
judges, opening or closing of court facilities, 
and court staffing needs; and 

c) to provide facts needed to evaluate 
recommended legislation, procedural changes, 
and reorganization proposals .... 

The comprehensive and centralized administrative 
direction of the court system by the Administrative 
Office (under the supervision of the Judicial 
Conference) greatly facilitates the use of such statistics 
in making management decisions relating to that 
system. Such uniform, central direction in the 
management of agency adjudications does not (and 
perhaps could not) exist. However, even within the 
decentralized administration of the agency adjudicative 
sphere, management decisions must be made by 



individual agencies,- by Congress, and by the Office of 
Personnel Management. Procedural innovations must be 
evaluated and procedural bottlenecks minimized. All of 
these goals require a greater understanding of 
caseloads, case processing times, and complexities of 
the various types or classes of agency adjudications. 

Classification and categorization of the agencies' 
formal proceedings in order to attain some measure of 
comparability between cases would not be an easy job. 
But we take encouragement from the fact that the 
Administrative Office has found a way to make useful 
generalizations about a variety of types of cases with 
characteristics as widely varying as those decided by 
administrative agencies. Its approach was to develop, 
over the years, a system of "weighting" cases in terms 
of judicial time required. For example, classes of cases 
that, through studies of judges' time logs, were found to 
be of average duration and complexity, such as tax suits 
and tort claims, were assigned a weight of "one". 
Antitrust cases, which are normally much more time- 
consuming, were assigned a weight of 8; social security 
cases were weighted .67, and so on. The weightings are 
periodically revised to ensure that they reflect current 
time studies. This development of weighted caseload 
figures is crucial to providing the Administrative Office 
with a more meaningful picture of calendaring and 
manpower needs. It also provides the Office with a 
better framework in which to judge the significance of 
its elaborate and refined case processing time figures. 

Few would argue that the Administrative Office's 
court statistics have not been a useful tool for those 
Interested in improving the administration of the 
Federal courts. But the question remains whether a 
system designed for caseload accounting in the courts 
can have the same utility with respect to agency 
proceedings. The weighting of types of agency 
adjudications may be much more problematic. The 
"three act" proceeding increases the number of 
variables to take account of. And differences in 
agencies and their procedures may create additional 
variables not present in the Federal courts where the 
Federal Rules of Civil Procedure provide a measure of 
procedural uniformity far exceeding that provided by 
the Administrative Procedure Act. These variables may 
render fruitless any attempt to assign meaningful 
numerical weights to types of agency proceedings— even 
if that were thought desirable. Nonetheless, some 
useful measure of comparability between types of 
agency proceedings is clearly possible and desirable. 
For example, even if the Department of Agriculture's 
Horse Protection Act civil penalty case is not at all 
comparable with a CAB foreign route permit case, it 
may be quite usefully comparable with an OSHA civil 
penalty case. As the data collection is completed. 



techniques should emerge that will enable us to form 
generalizations about procedures. Through comparative 
analysis, red flags might be raised with respect to 
problems of undue delay or inefficient procedures. 



DELAY AND PRODUCTIVITY 

It is a truism among lawyers that "justice delayed is 
justice denied," and delay in the administratiave process 
has been a major concern for a long time. In an essay 
on the subject in 1971, the then Chairman of the 
Administrative Conference Roger Cramton, declared: 

While administrative agencies were created to 
provide expeditous determinations of matters 
that courts and legislatures could not 
effectively handle, a continuing chorus of 
complaints of delay in the administrative 
process indicates that the ideal has not yet been 
achieved. 

The chorus continues unabated. Courts have more 
frequently reviewed agency inaction and ordered 
action. In 1 976, the House Committee on Interstate and 
Foreign Commerce issued a report highly critical of 
delays In a number of Federal agencies, and the Senate 
Committee on Governmental Affairs, in 1977, published, 
as Volume IV of Its six-part Study on Federal 
Regulation, a committee print devoted to "Delay In the 
Regulatory Process". Both President Ford and President 
Carter have strongly supported measures designed to 
reduce regulatory delays. 

No one should expect that addressing the issue of 
delay In administrative adjudication is an easy thing to 
do. Hearings take time. They must be fair, and the 
Administrative Procedure Act's adjudicative procedures 
are well designed to ensure fairness. But a judgment 
can be arrived at within each agency — and for different 
types of cases~as to how long a case should normally 
take. And agencies should employ some system to keep 
track of the progress of cases from initiation to final 
agency action. When pending cases fail to progress 
toward completion in accordance with expected 
timetables, an explanation should be sought. In many 
instances there will be a reasonable explanation; when 
there is not, corrective steps should be taken. 

This is not just a theoretical ideal. The NLRB's 
Office of General Counsel has for some time employed 
a highly effective case-tracking system with well-known 
goals for the processing of cases in the prehearing 
stages. It has not only reduced the processing time, but 
has provided incentives for employees' efficiency and 
bolstered the agency's ability to back up Its claims of 
high productivity. Other agencies are also developing 
sophisticated, computer-based case-tracking systems. 



And such in-house capability will undoubtedly reduce 
delay In those agencies. 

A government-wide connpilation of statistics should, 
In the long run, provide a stimulus and a basis for 
achieving some measure of comparability between 
classes of agency cases. Experts in administrative 
procedure can carefully compare the procedures of 
different agencies which perform, through adjudication, 
such similar functions as disciplinary proceedings, 
ratemakings, civil penalty assessments, permit 
revocations, merger approvals, applications for entry 
into regulated industry, construction permit 
applications, or claims for statutory benefits. Of 
course, some classes of cases defy aggregation, but a 
basis for comparison among certain classes of cases 
(such as those mentioned above) is surely attainable. 
Once the cataloguing is accomplished, elaspsed time 
statistics would become more meaningful, and a 
refinement of such statistics to make them illuminate 
other intermediate steps of the case would be 
worthwhile. After ail this, the goal would still be a 
modest one: to identify dissimilarities in elapsed time of 
identical stages in similar cases. Where found, a red 
flag would be raised, bottlenecks could be sought out 
and eliminated, and procedural recommendations would 
have an empirical base. This effort con complement, 
facilitate, and be assisted by the agencies' development 
of their own in-house case-tracking systems and internal 
case-processing guidelines. In time, procedures for 
agency adjudications could be standardized to a greater 
extent, budget and manpower decisions could be made 
more intelligently, and undue administrative delay could 
be reduced. 



Furthermore, even within the intended scope of this 
report the results of our data collection are in some 
respects incomplete (as explained in Chapter II). For 
this reason we have not analyzed the meaning of these 
statistics~we have merely attempted to present them 
in a fair, informative, and readable fashion in as full a 
context as possible in these circumstances. 

We hope that this report, limited though it may be, 
will not only be useful in and of itself, but will also 
stimulate comments, suggestions, and questions that 
will make future statistics-gathering even more useful 
to the long-range goals of achieving some measure of 
comparability of cases and of alerting agency 
management to situations of undue delay. 

In closing this preface we would cite a cautiously 
optimistic statement by Chief Justice Harlan Fiske 
Stone, made as a law professor, speaking about the goals 
of judicial statistics: 

This statistical method of dealing with social 
problems often cannot be relied upon as a 
mathematical demonstration leading to specific 
conclusions, but it may be used to indicate 
tendencies, to mark out the boundaries of a 
problem, and to point the directions to be given 
to a particular investigation of a non-statistical 
character. 

It is in that spirit that we publish this report. 



SCOPE OF THIS REPORT 

It has been said that, "There are three kinds of lies: 
lies, damned lies, and statistics." Prompted by this 
aphorism, we wish to emphasize the limitations of this 
report after dwelling at such length on its potential. 

One basic caveat is that the report deals only with 
quantity, not quality. Also, its scope is, at this stage, 
intentionally quite narrow. It includes information only 
on those administrative proceedings involving 
administrative law judges in those agencies which 
employ ALJs on a permanent basis. Agencies which 
occasionally borrow ALJs from other agencies are not 
included. Nor are a large number of administrative 
adjudications, including those by the Veterans 
Administration and Immigration and Naturalization 
Service which have most of the attributes of a formal 
hearing, but ore not presided over by ALJs. 



CHAPTER I: THE ADMINISTRATIVE LAW JUDGE' 



As explained in the Preface, the statistics compiled 
in this report pertain to the conduct of formal 
administrative proceedings characterized by a quasi- 
judicial hearing before an administrative law judge 
(ALJ) appointed under 5 U.S.C. 3105. Users of the 
report may therefore find it helpful to know something 
about administrative law judges, what the ALJ's role is 
in these adjudications, how the ALJ is selected, and 
what issues involving the ALJ are of interest to those 
concerned with the fairness and efficiency of 
administrative law. 

The ALJ is the central figure In formal 
administrative adjudication. There were 1127 ALJs 
employed by 29 Federal agencies as of April 2, 1 980, 
One indication of the importance of ALJs as lawmakers 
and law appliers is suggested by the fact that they 
outnumber by two to one the corps of United States 



^ Prepared by Jeffrey S. Lubbers, Senior Staff 
Attorney, Office of the Chairman, Administrative 
Conference of the United States (revised, April 1980). 
The paper represents only the analysis of the author and 
has not been reviewed or approved by the 
Administrative Conference of the United States or by 
any of its standing committees. 

1. The newsletter of the Federal Administrative Law 
Judges Conference expressed displeasure with the 
proliferation of the acronym "ALJ" (August 1979 
newsletter). It is used in this publication solely for the 
sake of brevity. 

2„ 5 U.S.C. 3105 was originally the first sentence of 
section I I of the Administrative Procedure Act (APA). 
The great majority of proceedings presided over by an 
ALJ are adjudications as defined by the APA (5 U.S.C. 
554, 556, 557). However, a few formal rulemaking 
proceedings (5 U.S.C. 553(c), 556, 557) are included due 
to the assignment of an ALJ as presiding officer. 

3o Statement of Margery Waxman, Genera! Counsel, 
U.S. Office of Personnel Managment, before the 
Committee on Post Office and Civil Service of the U.S. 
House of Representatives, on H.R. 6768, April 2, 1980, 
page 7. Of this total, 43 are women and 54 are 
"minorities." ]d. 

^o This includes the 28 agencies included in the 
report plus the Federal Labor Relations Authority which 
began employing ALJs in fiscal year 1 979. Also in FY 
1979, the reorganization of the Civil Service 
Commission effected the transfer of CSC's ALJ to the 
new Merit Systems Protection Board. 



district court judges who preside over the nation's entire 
Federal civil and criminal trial docket. -" 

ALJs are employed by Executive departments (e.g.. 
Agriculture, Interior, Labor, etc.) and independent 
agencies (e.g.. Federal Trade Commission, Interstate 
Commerce Commission, National Transportation Safety 
Board, etc.) to conduct hearings and make decisions in 
proceedings in which administrative determinations 
must be based on the record of a trial-type hearing. An 
ALJ's decision may be, and often Is, the final decision of 
the agency without further proceedings if there is no 
appeal to, or review on the motion of, the agency. ' A 
mere listing of some of the types of matters acted on by 
ALJs shows how important they ore to our daily lives 
and to the national economy: licenses and route 
certificates for transportation by air, rail, motor 
vehicle or ship; licenses for radio and television 
broadcasting; rates for gas, electrical, communication, 
and transportation services; compliance with Federal 
standards relating to interstate trade, labor- 
management relations, advertising, communications, 
consumer products, food and drugs, banking, corporate 
mergers, and antitrust; regulations on health and safety 
in mining, transporation, and industry; regulation of 
trading In securities, commodities, and futures; 
adjudication of claims relating to social security 
benefits, workers' compensation, international trade, 
and mining; and many other matters. 

When compared to the role of judges of the Federal 
courts, the role of ALJs in our governmental system is 
less visible, and, one would guess, less well understood. 
The Federal judge is, after all, the personification of 
the Judicial branch of the government, a robed 
authority figure who can demand and receive respect 



5. As of June 1979, there were 516 authorized 
federal district court judgeships, 397 filled and 119 
vacancies. Most of those vacancies were unfilled new 
positions created by the Omnibus Judgeship Act of 
1978. Administrative Office of the U.S. Courts, 1979 
Ann. Report, p. 4. 

6. The term "agency" as used in this chapter includes 
Executive departments, agencies within such 
departments, (e.g., Social Security Administration) and 
independent agencies. 

7. 5 U.S.C. 557(b). 



and obeisance even from Presidents. Federal judges are 
guaranteed life tenure by the Constitution; there is 
little reason to question their independence. The 
significance of their decisions, which are regularly 
published and widely accessible, is clearly 
comprehensible within the context of the familiar 
three-tier structure of the Federal court system (i.e., 
district courts, courts of appeals, and the Supreme 
Court). ALJs, on the other hand, in spite of being called 
judges and functioning as such, are subject to doubts 
about their independence due in part to their 
employment status as agency personnel. Furthermore, 
few agencies systematically publish decisions of their 
ALJs, and the significance of an ALJ's "decision" as a 
determinant of his agency's decision or final action 
varies markedly from agency to agency. 

The position of administrative law judge (formerly 
called "hearing examiner" ) did not even exist until the 
Administrative Procedure Act (APA) was enacted in 
1946. Prior to the APA, -^ there were no reliable 
safeguards to ensure the objectivity and judicial 
capability of presiding officers in formal administrative 
proceedings. Ordinarily these officers were subordinate 
employees chosen by the agencies, and the power of the 
agencies to control and influence such personnel made 
questionable any agency contention that its proceedings 
assured fundamental fairness. Furthermore, the role of 
the presiding officer in an agency's decisional process 
was often unclear; many agencies would ignore the 
officer's decisions without giving reasons, and enter 
their own de novo decisions. The APA was designed to 
correct these conditions. Reshaping the role of the 
"hearing examiner" was a crucial pre-condition to both 
of these basic reforms. 



I. THE ALJ'S ROLE UNDER THE ADMINISTRATIVE 
PROCEDURE ACT 

Despite the wide variety of types of cases heard by 
ALJs throughout the government, the functions of the 
ALJ are substantially the same in most cases. The ALJ 
normally has the following duties, grounded in his 



powers specified in the APA. 

— Administer oaths and affirmations. 

— Issue subpoenas authorized by law. 

— Rule upon offers of proof and receive relevant 

evidence. 

— Take or cause the taking of depositions. 

— Hold conferences for the settlement or simpli- 

fication of the issues by consent of the parties. 

— Dispose of procedural requests or similar matters. 

— Question witnesses as necessary or desirable. 

— Consider the facts in the record, arguments or 

contentions made, or questions resolved. 

— Determine credibility of witnesses and make findings 

of fact and conclusions of law. 

— Make decisions on the basis of reliable, probative, 

and substantial evidence on the record. 

— Take any other action authorized by agency rule that 

is consistent with the provisions of the APA. 

Not only does the APA specify the authority of ALJs 
as presiding officers, it also attempts to insure their 
Impartiality and independence. A chief effect of the 
Act was to lodge in the Civil Service Commission (now 
the Office of Personnel Management, Pub. L, 95-454, 
1978) exclusive authority for the initial examination and 
certification for selection of ALJs, the determination of 
applicable pay scales, and action on agency initiatives 
to terminate appointments of ALJs. The Act requires 
that the ALJ's functions (as well as those of other 
agency decisionmakers) be conducted in an impartial 
manner. Moreover, if a disqualification petition Is 

filed against an ALJ In any case, the agency must 

determine that issue on the record, and as part of the 

1 2 
decision In that case. The Act also prescribes that 

an ALJ may not be responsible to, or subject to 

supervision by, anyone performing investigative or 

prosecutorial functions for an agency. '•^ This 

"separation of functions" requirement is designed to 



8. The APA originally used the term "examiner". 
This was changed to "hearing examiner" in the 1966 
codification of the Act. After a long compaign by the 
examiners, the title was changed to Administrative Law 
Judge by the Civil Service Commission on August 19, 
1972. The APA was subsequently so amended in 1978. 
Pub. L. 95-251. 

9. The following discussion Is derived from Macy, 
The APA and the Hearing Exominers; Products of a 
Visible Political SocTityT T/ Fed. Bar. J. 351, 355(l9^r 



10. 5 U.S.C. 556(c). For a comprehensive look at the 
duties of an ALJ see Ruhleh, Manual for Administrative 
Law Judges (Administrative Conference of the United 
States, 1974), and Zwerdling, Reflections on the Role of 
the Administrative Law Judge, 25 Admin. L. Rev. 9 
rT9"73I 

11. 5 U.S.C. 556(b). 

12. jd. 

13. 5 U.S.C. 554(d). 



prevent the investigative or prosecutorial arm of an 
agency from controlling a hearing or influencing the 
ALJ. Finally, to insure that the ALJ is well insulated 
from improper agency pressure and controls, the APA 

contains two other provisions designed to make the Al I 

at least semi-independent of the employing agency: 
ALJs are to be assigned to their cases in rotation so far 
as practicable; and they may not perform duties 

inconsistent with their role as Al Is. They receive 

their pay as prescribed by the Office of Personnel 
Management (0PM) independently of agency 
recommendation or ratings, and are removable by the 
agency only after good cause is established before the 
Merit Systems Protection Board after opportunity for 
hearing. 



II. SELECTION AND APPOINTMENT OF ALJs 

Since the passage of the Administrative Procedure 
Act, the U.S. Civil Service Commission (now 0PM) has 
been exclusively responsible for the initial examination, 
certification for selection, and compensation of ALJs. 
Exercising these responsibilities has not been an easy 
task. The story of the controversy that surrounded the 
Commission's early attempts to administer the 
examination and selection of qualified ALJs and the 
maintenance of on eligibility roster is an interesting 
one, but it is too lengthy to be retold here. What is 
of more immediate interest is how the current and 
future members of the corps of ALJs attained or will 
attain their positions. 

There are several important interrelated facets of 
the selection and appointment process. The Office of 
Personnel Management through its Office of 
Administrative Law Judges administers the recruitment, 
evaluation, and selection of those eligible to be 
appointed as ALJs. 0PM has determined the minimum 
level of qualifying experience which an individual must 
have to be eligible. In addition 0PM conducts 
interviews, administers a test of writing ability. 



14. 5U.S.C, 3105. 

15. 5 U.S.C. 5362. 

16. 5 U.S.C. 7521, 5 C.F.R. 1201.131, W Fed Reg. 
3953(1979). 

17o The definitive accoynt, with rich Civil Service 
Commission documentation, is found in Macy, supra 
note 9, at 363—378. Mr. Macy was then the Chairman 
of the Commission. 



evaluates the qualifying experience of all applicants 
who meet the minimum experience requirements, and 
scores each of them on a scale of 100 points. Those who 
score 80 points or above become "eligibles" and are 
ranked (highest scores at the top) on registers 
maintained by 0PM from which the agencies make their 
appointments. The Office maintains two registers; one 
at the GS-16 grade level, the other at GS-15. This is 
done because 0PM has created ALJ positions at both of 
these level. ALJ positions in a majority of those 
agencies which employ ALJs (including most of the 
major agencies engaged in economic regulation) are at 
the GS-16 level. The positions in the remaining four 
agencies (including the Social Security Administration 
which employes over half of all ALJs) are at the GS-15 
level. '^ 

Before considering the entire selection and 

appointment process in more detail, it is necessary to 

note the importance of two complicating factors. The 

first such fdctor results from the applicability of the 
on 

Veterans Preference Act to the process. This Act 
(applicable to all competitive civil service jobs in the 
Federal government) provides that veterans of the 
armed services shall receive preference points in 
addition to their scored rating. This, as will be shown, 
tends markedly to enhance the ranking of veterans on 
both the GS-15 and GS-16 ALJ registers in relation to 
non-veterans. The second complicating factor is the 
Office's policy of permitting agencies to appoint 
eligibles who are not at the top of the register if the 
eligible possesses requisite specialized experience. 
Most of the agencies employing GS-16 ALJs utilize this 
procedure, known as "selective certification," and its 
impact on the appointment of GS-16 ALJs is therefore 
crucial. 



18, One constraint on the number of GS-16 ALJ 
positions authorized by OPM is that there is a statutory 
ceiling on the number of "supergrade" positions (i.e., 
GS-16, GS-17 and GS-18 positions) in the Federal 
government. See 5 U.S.C.A. 5108(a) (1979 Supplement), 
authorizing the Director of OPM, at his discretion, to 
establish 10,777 supergrade positions. A provision in 
this section reserving 240 positioqs at the GS-16 level 
and 9 positions at the G5-I7 level for ALJs was deleted 
by Pub. L. 95-454. 

19. The other 3 agencies that employ ALJs classified 
(by OPM) at GS-15 are the Bureau of Alcohol, Tobacco 
and Firearms, the Department of HUD, and the U.S. 
Coast Guard. In addition, the Environmental Protection 
Agency and the Departments of Interior and Labor 
employ both GS-l5s and GS-l6s. Chief ALJs at 
agencies with more 10 ALJs are classified at GS-17. 

20. Veterans Preference Act of 1944, as amended, 5 
U.S.C. 2108,3309,3317,3318. 



10 



A. Evaluation by the Office of ALJs 

The Office of Personnel Management has set forth 
the mininnum qualifying experience which nriust be 
possessed by an applicant as well as the general rating 
factors considered by the Office of ALJs in the 
deternnination of the applicant's eligibility and score. ^' 

In order to qualify as an ALJ, the applicant must be 
an attorney and have seven or more years of "qualifying 
experience," at least two of which must be within the 
seven-year period immediately preceding the date of 
the application. Qualifying experience means primarily 
(I) judicial experience; (2) the preparation, trial, hearing 
or review of administrative law cases at the Federal, 
state, or local level; or (3) the preparation, trial or 
appeal of cases in courts of unlimited or original 
jurisdiction. 

The ALJ applicant must consent to having inquiries 
(referred to by 0PM as "vouchers") sent to about 20 
individuals having personal knowledge of the applicant's 
experience, professional abilities, and qualifications 
(e.g., supervisors, judges, law partners, co-counsel and 
opposing counsel). The applicant also must demonstrate 
writing ability by preparing, under 0PM supervision, a 
sample opinion which is examined for clarity, 
conciseness and legal soundness. Finally, the applicant 
must participate in an oral interview before a special 
panel composed of an official of 0PM, a practicing 
attorney, and an official of an administrative agency. 

To become an eligible, and be placed on either the 
GS-15 or GS-16 register, an applicant must score at 
least 80 points on a scale of 100 in the final grading of 
the application. Applications are first screened to 
determine whether the applicant has the requisite 
minimal qualifying experience. Only those that do are 
graded. The applicant's qualifying experience may then 
be scored up to 60 points based upon the level of 
difficulty, complexity, responsibility and importance of 



21. U.S. Office of Personnel Management 
Announcement No. 318, reissued January 1979. This 21- 
page pamphlet announces the examination for ALJ 
positions and is available from OPM's Office of ALJs. 

22. The element of general trial experience 
liberalized the prior standard and was adopted in 
response to a recommendation by the Administrative 
Conference, ACUS Recommendation 69-9, I C.F.R. 
305.69-9. 

23. The attorney is usually, but not always, 
nominated by the Administrative Law Section of the 
A.B.A. The agency official is generally a Chief ALJ but 
sometimes a board member, commissioner, or general 
counsel. Interview with Charles Dullea, former 
Director of Office of ALJs, February 1976. 



at least one year of his experience. This score Is 
computed by the Office of ALJs from an Internal 
manual it has assembled over the years containing 
numerical scores for all anticipated types of qualifying 
experience. The computation Is also affected by the 
civil service rating sought by the applicant; his 
experience will probably be assigned fewer points If he 
applies for eligibility at GS-16 than If he seeks 
eligibility at GS-15. 

In addition to a score for qualifying experience, the 
applicant is assigned up to 40 points based upon the 
evaluation of professional qualifications contained in 
the applicant's vouchers. The staff of the Office of 
ALJs scores the evaluations on a specially designed 
"factor rating sheet", giving most weight to evaluations 
in vouchers submitted by Individuals In the best position 
to evaluate the applicant objectively. Applicants who 
have scored at least 80 points on the. basis of their 
combined scores for qualifying experience and the 
vouchers are rated as tentatively eligible and are asked 
to prepare a sample opinion and to appear before the 
special interviewing panel. After the panel completes 
the interview and reviews the writing sample, it may 
recommend an adjustment of the tentative eligibility 
rating score, though in practice adjustment are minor 
(nearly always less than five points). The Director of 
the Office of ALJs may, In his discretion, accept, 
reject, or modify the recommendation. The former 
Director estimated that about 72 percent of all 
applicants are rated ineligible. Approximately 32 
percent of all applicants fail to pass the threshold 
because they lack one or more of the minimum 
experience requirements, about 36 percent fail to 
establish tentative eligibility by scoring above 79 points 
after the first two ratings are totaled, and 4 percent 
have their score lowered below 80 after evaluation by a 
special panel. ^^ 

Individuals determined eligible for listing on either of 
the two ALJ registers are ranked in order of their 
scores with the highest scores at the top of the list, and 
appointments are made by the individual agencies from 
these registers. However, the agencies' appointment 
power is restricted by a statutory requirement known as 
the "rule of three" which is applicable to all competitive 



24. jd. It is interesting to note that the rating 
process received its first court challenge In March 
1973. The complainant alleged that the Commission's 
failure to find him qualified was arbitrary, capricious, 
and discriminatory. The district court entered judgment 
for the Commission, and the 7th Circuit, in an 
unpublished order, affirmed. Bromberg v^ U.S. Civil 
Service Commission, No. 75-1485 (7th Cir., "iuBmitted 
December 19 1975). 



II 



civil service jobs in the Federal government. Under this 
requirement, when an agency requests a list of eligibles, 
0PM must certify enough names from the top of the 
register to permit the agency to consider at least three 
names per appointment to each vacancy. The agency is 
then obliged to make its selection from those three who 
have the highest scores and are actually available for 
appointment. ~' As will be shown, the Veterans 
Preference Act tends to make the "rule of three" even 
more restrictive on agency choice. However, the 
operation of OPM's selective certification policy 
effectively removes the restrictiveness with respect to 
most appointments from the GS- i 6 register. 



B. Veterans Preference 

As explained above, those eligible for appointment as 
ALJs are ranked on the two registers maintained by 
0PM in order of their scores. However, the impact of 
the Veterans Preference Act on register rankings is 
crucial. The Act provides that an eligible applicant 
(applicant with an earned score of 80 or more) who 
meets certain requirements as a wartime veteran of the 
armed services is entitled to 5 (10 in the case of a 
disabled veteran) additional points above^ his scored 
rating. ° Since there is only a 20-point spread on 
scores among all ALJ eligibles (from 80 to 100), the 
addition of 5 to 10 veterans preference points to any 
score can change by many places an eligible's ranking on 
the register. Statistics compiled in February 1974 by 
the Office of ALJs show that of the top 60 eligibles on 
the GS-15 register, 9 were lO-point veterans, 42 were 5- 
point veterans, and only 9 had no veteran status. (Of 
the remaining 98 eligibles on the register, 45 were 5- 
point veterans and 53 were non-veterans). The pattern 
was similar in the GS-16 register (although the 
importance of the rankings on this register is lessened 
considerably by selective certification) where 58 of the 
177 eligibles were non-veterans, but only 15 of those 
were in the top 1 00 The Veterans Preference Act 
also affects the operation of the "rule of three" due to 



25. SU.S.C. 3317, 3318. 

26. 5U.S.C. 2108, 3309. 

27„ The statistics are found in the report of a 
subcommittee of the LaMacchia Committee (discussed 
in the text at note 67). Report of Subcommittee on 
Recruitment, Qualification, Certification, and 
Appointment, February 26, 1974, pp. 47-48. (Appendix 
to Committee report.) It has recently been reported 
that 49 of the top 50 people on the GS- 1 6 register are 
veterans. Legal Times of Woshington, June 2, 1980, p. 
32. 



its restrictions on an agency's passing over an eligible 
who has veterans preference to select a non-preference 
eligible. This means that the agency will have little 

choice as to whom It will appoint among the eligibles 
certified by 0PM in Instances where the first ranked 
eligible of those certified to the agency has veterans 
preference and the remainder do not; the agency must 
normally select the veteran. 

The impact of veterans preference on the register- 
ranking combined with the "rule of three" has led to 
criticism of the ALJ selection system as keeping many 
outstanding candidates, especially women, at the 
bottom of the register and as discouraging others from 
even applying. The Administrative Conference has 

recommended that both the extra points and the 
selection preference requirement for veterans be 
repealed with respect to the certification and selection 
of ALJs, and that agencies be permitted to appoint an 
ALJ from among the highest ten ranked eligibles on the 
register at the time of selection. 



30 



C„ Selective Certificcrtion 

As Intimated above, many agencies have sought to 
avoid the restrictions on their apppolntment of ALJs 
through the procedure of "selective certification." 
Using this process, an agency, upon a showing of 
necessity and with the prior approval of 0PM, is 
permitted to appoint specially certified eligibles 
without regard to their ranking in relation to other 
eligibles on the register who lack the special 
certification. For example, the Federal 

Communications Commission (FCC) has arranged with 
0PM for special certification of eligibles who can showi 

(t)wo years of experience In the preparation, 
presentation, or hearing of formal cases, or In 



28. SU.S.C. 3318(b). 

29. Report of Subcommittee on Recruitment, 
Qualifications, Certification and Appointment, supra 
note 27, at 49-50, 65. The full Committee diBnot 
accept the Subcommittee's recommendation that the 
Veterans Preference Act be amended to eliminate its 
application to the selection of ALJs. See also the 
discussion in Park, Report of the Committee on 
Personnel m^ Support of Administrative Conference of 
the U.S. Recommendation 69-9, I ACUS Reports 3817 

30. ACUS Recommendation 69-9(A)(4) ("Recruitment 
and Selection of Hearing Examiners . . ."), I CFR 
305.69- 9(A)(4). In August 1976, the American Bar 
Association's House of Delegates adopted a resolution 
recommending that ALJs be exempted from the 
provisions of the Veterans Preference Act. 



12 



making decisions on the basis of the record of 
such hearings, originating before governmental 
regulatory bodies at the Federal, state, or_local 
level, in the field of communications law . 

Suppose that four individuals on the GS-16 register 
were certified as having these special qualifications and 
their ranl<ings on the register were 15, 31, 68, and 95, 
respectively. When the FCC wished to appoint an ALJ, 
0PM would send it a list containing the names of the 
top three selectively certified eligibles (numbers 15, 31, 
and 68). The FCC could then choose from among those 
three, although the Veterans Preference Act's 
prohibition against passing over a veteran to select a 
non-veteran would still apply. Without selective 
certification, if the FCC were limited to picking new 
appointees from the top of the register, those ranked 
15, 31, and 68 could not be considered, and the agency 
might not be able to consider for appointment an 
eligible possessing special qualifications for the 
particular position. 

The result of this selective certification procedure is 
to establish, in effect, separate registers for those 
eligibles who have specialized experience. 
Announcement No. 318 lists the following agencies as 
utilizing selective certification for appointees from the 
GS-16 register: Department of Agriculture, Civil 

Aeronautics Board, Federal Communications 
Commission, Federal Energy Regulatory Commission, 
Department of Labor, Interstate Commerce 
Commission, National Labor Relations Board, and 
Securities and Exchange Commission. Only three 
agencies utilize selective certification for appointment 
from the GS-15 register: Bureau of Alcohol, Tobacco 
and Firearms, Social Security Administration (positions 
in Puerto Rico only) and U.S. Coast Guard. The possible 
benefits of selective certification to the agencies that 
have arranged for it are obvious, and those agencies 
have in fact utilized it extensively. A study made for 
the Civil Service Commission in 1974 reported that 
"approximately 82 percent of the ALJs in the agencies 
using selective certification attained their positions 
through its use. ^^ In fiscal years 1975 to 1979, 83 of 
the 98 appointments from the GS-16 register were 



31. Office of Personnel Management, Announcement 
318 (emphasis added). (See note 21, supra, at 19). The 
special qualifications for all agencies utilizing selective 
certification are set forth in the Announcement. 

32. Id at 19-21. 

33. LaMacchia Committee Report ("Report of the 
Committee on the Study of the Utilization of 
Administrative Law Judges"), see note 27, supra, July 
30, 1974, p. 12. 



selectively certified. 

The practice of selective certification has been the 
subject of criticism on the grounds that it severely 
limits opportunities for generalist applicants and that it 
leads to "inbreeding" among an agency's ALJs through 
biasing the selection process in favor of the agency's 
own staff attorneys who are most likely to meet the 
specialized experience criteria. A study done for the 
Administrative Conference in 1969 reported that in the 
preceding 5-year period, 52 of 66 ALJs appointed by the 

agencies utilizing selective certification had been 

36 
previously employed on the staffs of those agencies. 

There is no reason to think that the effect is less 
prevalent today. 

Although attorneys in private practice have the same 
opportunity to be specially certified as do agency staff 
attorneys, it appears that private attorneys with 
specialized expertise in law practice within areas of 
ALJ selective certification have little interest in 
forsaking their practice to become ALJs. The 
percentage of private attorneys on the GS-16 register 
has fluctuated in recent years, but very few private 
attorneys listed on the register are specially certified. 
In Morch 1980 there were 220 eligibles on the GS-16 
register; 23 were private attorneys and only 2 were 
specially certified. ■^° 

It seems clear that selective certification represents 
a response by 0PM to agencies' complaints about the 
restrictions on their power to appoint ALJs with 
particularized expertise. The policy does strike a sort 
of balance with the restrictiveness of the applicable 
provisions of the Veterans Preference Act and the "rule 



34. Information obtained from 0PM, Office of ALJs, 
March 1980. 

35. Report of Subcommittee on Recruitment, 
Qualifications, Certification and Appointment, supra 
note 27, at 37. See generally. Miller, The Vice of 
Selective Certification in the Appointment of Hearing 
Examiners, 20 Admin. L. Rev. 477 ( 1 968). 

36. Park, supra note 29, at 396. 

37. See note 22, supra, and accompanying text. On 
July I, 1967, only 20 percent of the attorneys on the 
register were in private practice. See Miller, supra note 
35, at 478—479, n. I. By JanuaryTj 1974, tTTaTfigure 
had risen to 34 percent. Report of the Subcommittee on 
Recruitment, Qualifications, Certification, and 
Appointment, supra note 27, at 42. In February 1976 
the figure was 32 percent (42 of 180), but in March 
1980, the percentage was only 10.5. 

38. Information obtained from 0PM, Office of ALJs, 
March 1980. One of the two was specially certified 
because of prior government service. 



13 



of three", but whether it strikes an optimum balance, 
whether it enhances the quality or productivity of the 
ALJs, and whether it unduly discriminates against 
"generalist" eligibles remain much debated questions. 
The agencies utilizing selective certification generally 
favor its continuation, generalist eligibles oppose it, and 
others have urged its modification. 

The Administrative Conference believes that the 
objective of selective certification could be achieved 
without closing the door to highly-qualified generalists 
by changing the process of ALJ certification and 
selection. Under its recommendation, eligibles would be 
awarded extra rating points for specialized experience 
of the kind now recognized for selective certification; a 
pool of the ten, rather than three, highest ranking 
eligibles on the register would be certified for agency 
selection; and, by amendment of the Veterans 
Preference Act, the agency would be free to select any 
eligible in the certified pool even if there were a 



most part, the Office has effected its recruitment 
through dissemination of Announcement No. 318, 
correspondence with bar associations and law schools, 
press releases, and speeches by the Director. 
However, this recruitment effort has largely been 
limited to general recruitment, i.e., solicitation of 
applicants for positions on the general registers. (Most 
of the efforts in recent years have been directed to 
attracting applicants for GS-15 positions to meet the 
burgeoning needs of the Social Security 
Administration.) 

Because the Office does not wish to favor one agency 
over another in its recruitment activities, it has 
refrained from recruiting those with specialized 
experience, leaving that task to the agencies. 
Unfortunately, though not surprisingly, few agencies 
have responded by organizing recruitment efforts aimed 
at attorneys outside their own legal staffs. 



higher-rated veteran in the pool. 



39 



D. Recruitment 

The range of choice for agencies in' selecting ALJs 
depends in port on the overall composition of the 
registers of eligibles. This in turn depends in part on 
recruitment of applicants. As mentioned, many fewer 
private attorneys tend to apply than do Federal agency 
lawyers. One can only assume that the limited salary 
potential for ALJs is a major factor in this. ALJs' 
salaries like those of other top governmental officers 
are limited by a statutory ceiling. As of October 1979 a 
GS-15's salary ranged from $40,832 to the ceiling of 
$50,112 and a GS-16's ranged from $47,889 to 
$50,112.^^ Apparently this salary level is not high 
enough to attract many specialized practitioners from 
the private bar. Indeed as far back as 1974, the then- 
Director of the Office of ALJs expressed the opinion 
that ALJ service was also gradually losing its appeal to 
specially qualified agency staff attorneys in relation to 
the more lucrative lure of private practice. The 

Office of ALJs has the responsibility for recruitment as 
well as examination and selection, and can therefore 
tailor its recruitment effort according to the agencies' 
needs and the interests of practicing attorneys. For the 



39. ACUS Recommendation 69-9(A)(2); I CFR 
305.69-9(A)(2). 

*0. See 5 U.S.C.A. 5332 (1979 supplement). 

41. Report of Subcommittee on Recruitment, 
Qualifications, Certification ond Appointment, supra 
note 27, at 28. 



III. WHEN SHOULD / MUST ALJs PRESIDE? 

Administrative law judges play a special role in the 
administrative process. Generally speaking, their 
function under the Administrative Procedure Act is to 
preside over proceedings which are to be conducted in a 
manner resembling a trial, i.e., according to the 
procedures required by Sections 556 and 557 of the Act, 
or other similar procedures. However, despite this 
general framework provided by the APA, the Act does 
not provide a simple answer to the question of when an 
ALJ is to preside. 

A preliminary question that must be answered is 
whether a particular proceeding is intended to be a 
"trial-type" proceeding (sometimes called a "formal" or 
"APA" proceeding) governed by the procedures of 
Sections 556 and 557 (or their equivalent). If not, then 
an ALJ is not required and probably not needed; if so, 

then the question still remains—whether an Al I shall 

preside. 

This preliminary question, whether a particular type 
of agency proceeding is governed by the APA's formal 
adjudicative procedures, is usually answerable by 
reference to the particular statutory language 
involved. If the underlying statute provides for an 
adjudication to be determined "on the record after on 
opportunity for an agency hearing," this means that the 



M. ]d. at 3-4. 
M, Jd. at 5. 
«„ jd. at 4, 14. 



14 



APA's adjudicative procedures must be followed. 

In such instances, the APA does provide guidance as 
to who is to preside over the hearing. Section 556(b) 
provides that the presiding officer shall be "(I) the 
agency; (2) one or more members of the body which 
comprises the agency, or (3) one of more administrative 
law judges appointed under section 3105 of this 
title." This provision means that unless the agency 

itself or a member of the agency (i.e., the Board, 
Commission or Administrator heading the agency) 
presides over the hearing, the cose must be heard by an 
ALJ. The provision gives the agency discretion to hear 
selected cases or types of cases itself rather than 
delegating the responsibility to ALJs. This discretion is 
seldom used, and the effectiveness of its use as a 
management procedure can only be evaluated on an 
agency-by-agency basis. Of course, as mentioned 
previously, agencies are allotted ALJ positions by the 
Office of Personnel Management, and where a 
proceeding is clearly on "APA proceeding," 0PM will 
normally, upon request of the agency, automatically 
allot what it considers to be a sufficient number of ALJ 
positions to handle the proceedings. Disputes between 
the agency and 0PM in these instances would likely 
concern only he sufficiency of the number. 

It is the next sentence of Section 556(b) which gives 
rise to problems of interpretation and thus occasionally 
causes disputes between 0PM and agencies, engenders 
litigation, and clouds the preceding discussion. This 
sentence disclaims any intent to "supersede the conduct 
of specified classes of proceedings, in whole or in part, 
by or before . . . other employees specially provided for 
or designated under statute." Thus, where a statute, 
other than the APA, arguably provides for or allows the 



45. 5 U.S.C. 554(a). This "black letter law" does not, 
however, always provide the right answer. In an 
adjudicative context, the Supreme Court has ruled that 
due process of low may require that a statute which 
says nothing about a hearing be interpreted as requiring 
a hearing with a determination on the record. Wong 
Yang Sung v. McGrath, 339 U.S. 33 (1950) (construing 
the Immigration Act). On the other hand, in the context 
of national rate setting (technically "rulemaking"), the 
Court has twice ruled that the requirement of a 
"hearing" in the underlying statute means an informal, 
notice-and-comment rulemaking proceeding unless the 
statute "prescribes explicitly" that the hearing be "on 
the record." United Stotes v. Florida East Coast R. Co., 
410 U.S. 224 (1973); UmtecTStates v. "RnegFieny:Ludlum 
Steel Corp., 406 U.S. 742 (1972). THese coses have been 
read to extend only to rulemaking situations. See Davis, 
Administrative Law of the Seventies, section 6.04-1. 



46. 5 U.S.C. 556(b). 



utilization of "other employees" os presiding officers, a 
dispute may arise as to who should preside— ALJs or 
"other employees." When Congress has not been explicit 
about who shall preside, the agency is left to determine 
who will preside. If the agency decides to utilize ALJs, 
then it must secure the cooperation of the Office of 
Personnel Management to obtain a sufficient number of 
ALJs. As described below, this cooperation, for various 
reasons, has not always been readily given. If the 
agency decides to use "other employees," that decision 
may be challenged by litigants who argue that Congress 
intended, or that due process requires, that the 
proceeding be presided over by an ALJ whose 
independence from agency control is assured by the 
APA. 

Sometimes Congress addresses the question of 
whether ALJs must preside over hearings, but seldom 
have statutes dealt with the issue conclusively. An 
example of inconclusiveness concerns Indian probate 
determinations made by hearing officers employed by 
the Deportment of the Interior. Although the 
Department has construed the governing statute's 
requirement of notice and hearing to require a full 

Ag 

adjudicatory hearing. Congress, in 1954, began 

attaching a section to the Department's appropriations 
act providing that "hearing officers appointed for Indian 
probate work need not be appointed pursuant to the 
Administrative Procedure Act, as amended." Thus, 

the Department was apparently permitted to use non- 
ALJs as hearing officers. This is what, in fact, the 
Department has done, but until Congress made this 
proviso permanent in 1967, there was potential for 
disagreement among the Civil Service Commission, the 
Department, and litigants before the Department about 
the appropriateness of using ALJs due to the 
inconclusiveness of the statutory language. 

An example of what statutory indeflnlteness can lead 
to is the brouhaha that was caused by a provision in the 
1972 Supplemental Security Income (SSI) Amendments 
(Title XVI) to the Social Security Act. ^^ (The new 
Title XVI transferred from the states to the Social 
Security Administration primary responsibility for 
welfare aid to the aged, blind, and disabled.) Although 



48. 25 U.S.C. 372. 

49. 43 C.F.R. 4.200 et seq. 

50. 25 U.S.C. 372-1. 

51. 25 U.S.C.A 372-1 (1979 Supplement); Pub. L. 90- 
28, June 24, 1967. 



47. \d^ (emphasis added). 



52. Pub. L. 92-603; 42 U.S.C. 1381 et seq. 



15 



hearings necessary in the Social Security Retirement 
and Disobility (Title II) and Medicare (Title XVIII) 
programs were generally thought to be subject to APA 
requirements and were presided over by ALJs, in the SSI 
program Congress provided that "to the extent the 
Secretary (of Health, Education, and Welfare) finds it 
will promote the objectives of this title, qualified 
persons may be appointed as hearing 

examiners without meeting the specific standards 
prescribed for hearing examiners" by the APA. The 
Secretary proposed to employ ALJs appointed under the 
APA as presiding officers in SSI cases. 

The Civil Service Commission initially took the 
position that the new SSI presiding officers were not to 
be ALJs, arguing that Congress had intended to 
authorize only the use of HEW staff attorney-claims 
examiners as presiding officers. The Commission 
further argued that the nature of SSI cases required 
"relatively low level employees", and that to make these 
officers ALJs under the APA "would ultimately lead to 
the diminution" of the effective operation of APA-ALJ 
provisions in "those major economic agencies dealing 
with highly litigious, complex and pervasive issues" for 
which the APA-ALJ system was primarily designed. 
This position was challenged by the Secretary of Health, 
Education, and Welfare who urged that the Commission 
classify these claims examiners as ALJs, establish 
positions for them at GS-I 3 and GS-14 levels, and follow 
full APA procedures in selecting and controlling 
them. The Chairman of the Commission agreed to do 
this, but after receiving letters of protest from ALJ 
organizations 



^' decided to ask for review of his 



53, 42U.S.C. 1383(d)(2). 

54. Letter from Anthony Mondello, General Counsel, 
Civil Service Commission, to Robert G. Dixon, Asst. 
Attorney General, Office of Legal Counsel, July 10, 
1973, pp. 6-7, as cited by Rosenblum, infra note 65, at 
85. 

55„ Letter from Caspar W. Weinberger, Secretary of 
HEW, to Robert E. Hampton, Chairman, CSC, October 
12, 1973, as cited by Rosenblum, infra note 65, at 106- 
108. 

5iS. Letter from Robert E. Hampton, Chairman, CSC, 
to Caspar W. Weinberger, Secretary, HEW, October 30, 
1973, as cited by Rosenblum, infra note 65, at 109. 

57„ Letter from Arthur A. Gladstone, Chairman, 
Conference of ALJs, November 12, 1973; letter from 
FALJC, November 16, 1973; letter from Stanley N. 
Ohibaum, Chairman, Committee of ALJs, Federal Bar 
Association, November 16, 1973. All letters were to 
Chairman Hampton. As cited by Rosenblum, infra note 
65, at 109. 



decision by the full Commission. The Commission 
reiterated its initial position, arguing that it was 

CO 

consonant with Congressional intent and therefore 
required as a matter of law. The SSI program was then 
staffed with claims examiners to preside over any 
necessary formal hearings. 

Subsequently it became evident that the Commission 
was mistaken when Congress amended Title XVI, and 
the Senate Finance Committee's report delivered a mild 

eg 

rebuke to the Civil Service Commission. -"^ The 
amendment explicitly provided that SSI proceedings be 
conducted according to APA formal hearing procedures 
presided over by APA ALJs' and designated the staff 
attorneys originally hired as SSI claims examiners to 
conduct these APA hearings in SSI cases (and on Social 
Security Retirement, Disability, and Medicare claims as 
well). The amendment also explicitly made these 
examiners ALJs until the end of 1978, In 1977, 
however, Congress appointed these "ternporary" ALJs to 
permanent, fully qualified ALJ status. 

The dispute about SSI ALJs represents not only a 
clash of philosophy about the need for formality 
(symbolized by the presence of an "APA-ALJ") in mass 
benefit claims adjudication, but also the sensitivity of 
ALJs as a group to perceived dilution of their special 
status by the addition of hundreds of "lower-level" 
claims adjudicators to their corps. The merits of this 
particular dispute are beyond the scope of this 
discussion, but it does serve as an example of 

controversy brought on by Congressional ambiguity. 
Other similar areas of uncertainty over the need for an 
ALJ as presiding officer have included the Notional 
Pollution Discharge Elimination System (NPDES) permit 
proceedings under the Federal Water Pollution Control 
Act amendments of 1972 administered by the 



58. Letter from Robert E. Hampton, Chairman, CSC, 
to Caspar W. Weinberger, Secretary, HEW, December 
14, 1973, as cited by Rosenblum, Infra note 65, at 109. 

59. P.L. 94-202, 89 Stat. 1135 (1976). The Senate 
Report (No. 94-550) at page 5 states: "The performance 
of the Civil Service Commission Office of 
Administrative Law Judges in overruling the 
administering agency (HEW) in its legal opinion that SSI 
was under the APA does not reflect the will of 
Congress." See also the House repwrt (No. 94-679) 
which was even more critical of the Office of 
Administrative Law Judges (page 4). 

60. Pub. L. 95-216, section 371 (1977). 

61. See "Background Material on H.R. 5723s 
Conversion of Temporary Social Security ALJ's", 
Subcomm. on Social Security of the House Comm. on 
Ways and Means, 95th Cong,, 1st Sess., (Comm. Print, 
April IS, 1977). 



\6 



Environmental Protection Agency, and the 

proceedings under the Black Lung Benefits Act of 1972, 
administered by the Social Security Administration 
initially, then transferred to the Department of 
Labor. " 



62= 33 U.S.C. \3'i\. These eases involve permits for 
discharge of pollution. Federal permits are issued until 
applicable state NPDES plans are approved. The statute 
requires o "public hearing" prior to the issuance, denial, 
or modification of a permit in certain circumstances. 
The EPA in its rules of practice, 40 C.F.R. 124 et seq., 
has established a two stage process—an informal process 
leading up to the issuance of a permit, and a second 
stage "evidentiary hearing", presided over by ALJs with 
initial decisions reviewed by the Administrator. In 
initial permit cases, the ALJ is assisted by a panel of 
experts (40 C.F.R. 124, 120). 

63. 30 U.S.C. 901 et sec[. The sections of the Act 
relating to claims filed after July I, 1973, to be 
processed by the Department of Labor, provided that 
the procedures of the Longshoremen's and Harbor 
Workers' Compensation Act of 1927 (LHWCA), as 
amended (33 U.S.C. 901 et seq .) be applicable to the 
Department of Labor's determination of black lung 
claims as well, 30 U.S.C. 925(a)(4), 932(a). In 1972, just 
after the Black Lung Benefits Act was passed, Congress 
amended the LHWCA (PL 92-576) and in so doing 
amended the latter Act to provide that hearings be 
conducted by administrative law judges, 33 U.S.C. 919. 
After the amendments, the meaning of the cross- 
reference in the Black Lung Benefits Act become a 

subject of dispute with respect to whether Al Is were to 

be required in black lung cases as well. The Civil 
Service Commission, after construing the cross- 
reference to refer to the original LHWCA, refused to 
authorize the appointment of ALJs to hear the cases. 
The Secretary of Labor, though disagreeing with the 
Commission, issued a regulation designed to expedite 
the cases, providing that hearings under the Act be 
conducted by departmental hearing officers, 20 C.F.R. 
7l5.IOI(a)(27) (1975). The regulations did, however, 
invoke the 1972 Act's new review scheme. The Civil 
Service Commission thereafter continued to oppose the 
Department's entreaties to classify these examiners as 
ALJs and even persuaded President Ford to veto a bill 
containing a rider which would have reclassified these 
examiners as GS-16 ALJs on the grounds that the "fiat" 
was contrary to merit selection of ALJs and would over- 
classify those positions in relation to Social Security 
ALJs (Farm Labor Contractors Registration Act 
Amendments of 1974, H.R. 13342; see 32 Cong. Record 
3044, 3047-8 (November 2, I 974)). ~The Department of 
Labor's own Benefit Review Board then ruled that 
hearings under the Act must be conducted by ALJs and 
concluded that the Department's regulations were 
contrary to law. Fields v. A.K.P. Coal Company, 3 BRBS 
269 (1976). The practical result of this decision was to 
render the black lung hearing officers inactive, to cause 
the assignment of some cases to regular Department of 
Labor ALJs and generally to slow down the hearing 
process until the matter could be worked out with the 
Civil Service Commission. Congress finally stepped in 



Such uncertainty would not occur if Congress would 
be more explicit in its procedural legislation. Congress 
should consistently specify whether or not it intends the 
proceedings in question to be subject to Sections 556 
and 557 of the APA and conducted by ALJs appointed 
under Section 3105. If this were done, interagency 
squabbles would be minimized, dilatory litigation would 
be forestalled, and lobbying and political pressures 



would be confined to the legislative process. 



64 



IV. THE FUTURE OF THE ALJ-s ROLE 

Thirty-four years after the passage of the 
Administrative Procedure Act the Administrative Law 
Judge is a strong and flourishing institution. Both the 
number of judges and the number of agencies using them 
have been growing yearly. Their status and functions 
have been enhanced by a long series of decisions of 
Federal courts reviewing administrative agency 
decisionmaking. And they themselves have organized 
an effective professional association— the Federal 



to break the logjam by enacting a joint resolution 
(Public Law 94-504) which provides that "qualified 
individuals" could hear and determine such claims 
regardless of whether the individuals are ALJs. This 
tangled history was parsed by a number of Courts of 
Appeals. See, e.g., Director v. Peobody Coal Co., 554 
F. 2d 31017th Cir. 1977), all of which held that the 
subsequent Congressional action validated the use of the 
non-ALJ hearing officers. On March I, 1979, the 
Department was given sufficient ALJ positions (many of 
whom were "converted" hearing officers) to use fully 
qualified ALJs in all black lung cases. 

6k. Of course, disputes could still arise between the 
agency and 0PM over use of ALJs in non-APA 
proceedings. But at least the issue of Congressional 
intent would not be a stumbling block. 

65, See Macy, supra note 9, at 380-382. For a 
comprehensive discussion see Rosenblum, The 
Administrative Law Judge \n_ the Administrative 
Process: Interrelations of Case Law witfTStatutory and 
Progmatic Factors in Determining ALJ Roles, 
Subcomm. on Social Security of the House Comm. on 
Ways and Means, 94th Cong., 1st Sess., Recent Studies 
Relevant to the Disability Hearings and Appeals Crisis 
171-245 (Comm. Print December 20, 1975). The 
Supreme Court recognized the ALJ's functional 
comparability to judges in Butz v. Economou, 438 U.S. 
478 (1978), (ALJs have absolute immunity from liability 
for damages for actions taken in their quasi-judicial 
capacity.) 



17 



Administrative Law Judges Conference (FALJC). 
Nevertheless, in recent years questions about the 
recruitment, selection, utilization, independence, and 
competence of the ALJ have been asked with 
increasing, rather than decreasing, frequency. 



Ao Action by the Civi! Service Commission I 

The Civil Service Commission has undertal<en several 
efforts to address these questions. The first of a two- 
stage study was commenced in June 1973 by a study 
group composed of six Chief ALJs and five ALJs under 
the direction of Philip LaMacchia, then the Deputy 
General Counsel of the Civil Service Commission. The 
"LaMacchia Committee" was given a broad mandate to 
make findings pertaining to the overall effectiveness of 
the ALJ program. The Committee submitted its report 
to the Commission on July 30, 1974. 

The Committee recommended against a change in the 
application of veterans preference to the ALJ selection 
program, but urged changes in the operation of the "rule 



of three' 



,,.67 



and of selective certification. The 



Committee also urged an enhanced recruitment effort 
and called for greater Congressional explicitness as to 
the need for Al I hearings in particular programs. 

The recommendations of the LaMacchia Committee 
were reviewed by a "second level" committee known as 
the "Advisory Committee on Administrative Law 
Judges," which was established in August 1976, °' and 
held nine meetings before issuing its final report on 
February 14, 1978. ^^ 

This more broadly representative advisory committee 
formally adopted four recommendations for approval of 



66, The FALJC is the only independent association 
of ALJs. The ABA's Section of Judicial Administration 
has organized a Conference of ALJs, and the numerous 
ALJs in the Department of HEW have also formed their 
own Association of ALJs. 

67o See text at note 25. The Committee urged a 
change to a rule of 10 or 15, (Finding I (8), p. 15, 62). 

68. indeed, to encourage this, the Committee urged 
that the APA be amended "to provide that no future 
statute or Executive Order which provides for a hearing 
shall be deemed to require the use of ALJs absent 
explicit language therein that the proceedings in 
question are to be subject to Sections 556 and 557 of the 
APA in all respects and conducted by ALJs appointed 
under Section 3105." (Finding VIII (I), p. 56, 67-8). 

69. See 41 F.R. 36682(1976). 

TO. Final Report of the Advisory Committee on 
Administrative Law Judges, February 14, 1978. 



the Commission (although the Committee discussed 
many other issues). It recommended that ALJs be 
removed from coverage of the Veterans Preference Act, 
that the practice of selective certification be 
abandoned if veterans preference coverage is removed, 
that the Commission permit certain additional types of 

occupations to count as qualifying experience for Al I 

positions, and that the Commission modify its 

requirement pertaining to the recentness of qualifying 
experience. 

The Commission, in 1978, published a proposal to 
implement the recommendations pertaining to the 
experience requirements for eligibility, but has taken no 
further action on the matter. '^ The Commission did, 
however, undertake a systematic content validity study 
of its ALJ examination process. When completed, 

this study may result in change in the selection process. 



B. Recent Legisiotlve Proposals 

Spurred by increasing concern about regulatory costs, 
administrative delay and bureaucratic red tape, the 
President and Members of Congress have proposed 
several major "regulatory reform" bills in the 95th and 
96th Congresses. A significant component of many of 
these bills has been a revamping of the ALJ system. 
The Senate Governmental Affairs Committee in the 
95th Congress (1977-78) laid the foundation for the bills 
with its six-volume Study on Federal Regulation. A 
portion of Volume IV, "Delay in the Regulatory 
Process", was devoted to a description of and a 
suggestion for reform of the ALJ selection process 
(pages 105—112), The Committee's study led to the 
introduction in the 95th Congress of an omnibus 
regulatory reform bill which, in modified form, became 
S. 262 in the 96th Congress. Among the bill's many 
provisions is a complete revision of the ALJ selection 



71. Specifically, the Committee recommended 
deleting from Announcement 318's list of excluded 
occupations (I) adjudicator; (2) arbitrator; (3) mediator; 
(4) teacher or professor; (5) hearing officer In informal 
or conference proceedings; and (6) legal consultant. 

72. Specifically, the Committee recommended that 
the two most recent years of qualifying experience be 
acquired in the preceding ten years rather than the 
preceding seven years. See text at note 22. 

73, See 43 F.R. 24565, June 6, 1978. Legislative 
proposals to amend the veteran's preference provisions 
have, however, been supported by the Commission. (See 
infra. ) 

74, See Sharon, "Validation of the Administrative 
Law Judge Examination" (Draft, February 13, 1980). 



18 



process. (The Carter Administration subsequently 
proposed a similar bill S. 755 (H.R. 3263), and a 
subcommittee of the Senate Judiciary Committee 
drafted its own version, S. 21^7), '-' 

Under S. 262, (Title 11, Part B), as reported, the 
Administrative Conference would assume the function 
heretofore performed by 0PM of setting qualifying 
standards for ALJs and maintaining the register of 
eligibles. In addition, agencies would be permitted to 
select from the top ten eligibles without reference to 
veterans preference. The bill also provides that all 

A! Is appointed after the effective dote of the Act shall 

be appointed for a term of ten years. Furthermore, a 
new procedure for evaluating, reappointing and 
removing ALJs is established by the bill and also 
assigned to the Administrative Conference. The 
procedure calls for the appointment of review boards by 
the Chairman '° of the Administrative Conference to 
aid the Chairman in making determinations as to 
reappointment. Removals of ALJs would be made 
easier by the bill as well. 

As might be predicted, many of these proposals have 

been strenuously opposed by witnesses representing ALJ 

78 
assocrations, and there is some doubt as to whether 

any or all of these provisions will be enacted by the 96th 

Congress. Nevertheless, these developments indicate a 

fairly widespread perception of a need for change in the 



75. As of this writing, the Senate Governmental 
Affairs Committee reported S. 262 on April 15, 1980. 
The Senate Judiciary Committee is considering S. 262 
(under a joint, 45-day referral) as well as its 
subcommittee's bill, S. 2147. The House Judiciary 
Committee Is considering the Administration's bill, H.R. 
3263, as reported by its subcommitteeon April 8, 1980. 
However, the ALJ portion of the latter bill was dropped 
from the bill and reintroduced as a separate bill, H.R. 
6768. 

76. Title IV of S. 262 also reorganizes the 
Administrative Conference and designates its head as 
"Administrator." 

77. The analogous provision of the Administration's 
bill 5. 755 and H.R. 6768 (see note 75) are quite similar 
to those in S. 262. However, the Administration's bill 
provides for seven-year terms with no exemption for 
sitting judges. The Senate Judiciary Committee bill, S. 
2147, contains a similar selection procedure (transferred 
to the Administrative Conference) but contains no new 

"evaluation or removal procedure. 

78. See, e.g.. Statement of William Fauver on behalf 
of the Federal Administrative Law Judges Conference 
before the Senate Committee on Governmental Affairs, 
May 3, 1979, and the FALJC Newsletter of April 1980, 
which details the association's "battle" on behalf of its 
members. 



ALJ selection process and for increased ALJ 
productivity. 



C. Productivity Concerns 

In the Administrative Conference's first report on the 
Uniform Caseload Accounting System, we referred to 
the "irrepressible question of whether one can evaluate 
ALJs' performance." '" The question is, if anything, 
even more timely now,' since an assumption of the 
above-mentioned bills is that objective evaluation of 
ALJ performance can and should be undertaken. 

The Administrative Conference has engaged 
Professor Victor Rosenblum of the Northwestern 
University School of Law to undertake a study of the 
feasibility of evaluation of ALJ performance, but some 
recent developments warrant brief mention here. 

One of the earliest forays into this area was by the 
LaMacchia Committee, which surveyed private 
practitioners and government attorneys about the 
overall quality of ALJs' initial decisions and the 
performance of ALJs as to the time taken to write 
those decisions. The results were quite inconclusive, 
with a majority of government attorneys and a minority 
of private practitioners finding the quality of initial 
decisions to be good or superior and a slight majority of 
both groups finding the time performance to be good or 
superior. ° More sophisticated surveys or evaluative 
questionnaires, as employed by numerous state bar 
associations with respect to state judges, could be 
used. However, systematic evaluation of the work 
product of ALJs as a corps, by agency, or by individual 
judge is problematic due to the potential conflict with 
ALJ independence. Agency ratings of ALJs cannot be 
taken into account by the Office of Personnel 
Managment in compensation, °^ and the "good cause" 
test for discipline and removal of an ALJ has rarely 
been invoked. (Only ten ALJs in the history of the corps 



79. Federal Administrative Law Judge Hearings- 
Statistical Report for 1975 (Administrative Conference 
of the U.S., 1 977), ^4"; 

80. Reports were received from 54 private 
practitioners and 1 34 government attorneys. LaMacchia 
Committee Report, supra note 27, at 34 — 37. 

81. See, e.g., How Bar Associations Evaluate Sitting 
Judges, Institute for Judicial Administration, 1976. 

82. 5 U.S.C. 5372. See also 5 U.S.C. 4301 which 
exempts ALJs from the performance ratings prescribed 
for other civil servants. 



19 



have been formally charged and only 3 removed.) 

The potential tension between ALJ independence and 
management initiatives was dramatically illustrated by 
the controversy, acrimony, and litigation occasioned by 
the aggressive efforts of Robert Trachtenberg, former 
Director of the Social Security Administration's Bureau 
of Hearings and Appeals, to institute a number of 
management initiatives with respect to ALJ 
performance. Among the practices most strenuously 
opposed by members of the SSA ALJ corps were a peer 
review progam, a monthly production goal/quota and a 
quality assurance program designed to identify ALJs 
whose decisions deviated significantly from the agency- 



wide rate of reversals of initial benefit-denials, 



85" 



Whether or not the agency's productivity rate was 
enhanced by these initiatives (and the evidence seems to 
indicate that it was), the agency's morale was obviously 
harmed and the SSA, in a recent settlement of one of 
the lawsuits engendered by the actions, has agreed to 
drop mention of production figures in its training and 
transfer policies. 

Even if the Social Security Administration's 



83. Fauver testimony, note 78 supra, at 32-34. The 
three removals occurred in 19S2, 1972, and most 
recently in March 1980. Six of the judges have been 
charged since January 1978, mostly by the Social 
Security Administration. One judge has been charged 
twice. 

84. For the full airing of this controversy, see 
"Social Security Administrative Law Judges: Survey and 
Issue Paper", Subcomm. on Social Security of the House 
Comm. on Ways and Means (Comm. print, January 27, 
1 979). The remarkable bitterness that arose during this 
period is illustrated therein by statements in an 
affadivit filed by Director Trachtenberg (Appendix B): 
"Upon my appointment as Director in January, 1975, 1 
discovered the most lethargic, indifferent, unresponsive, 
and unaccountable organization that I have ever seen in 
15 years as a Federal employee"; and by a letter of 
commentary on that affadivit by an agency official (Mr. 
James A. Minton, program operations officer, Region 
HI) who opened his letter (Appendix C) by stating that 
Mr. Trachtenberg "grossly exaggerates and flagrantly 
distorts the truth in his self-serving sworn statement of 
September 5, 1 978. He appears intoxicated by his own 
press releases: thereby deluding himself in believing 
that he is the Messiah whose mission was to redeem 
BHA of all its base and scandalous deeds," 

85. The Second Circuit has recently upheld the 
standing of an SSA ALJ to challenge these practices, 
Nash V. Califano. 47 Ad. L. 2d 783, January 7, 1980 
(remanded to district court). 

86. Bono V. Social Security Administration, C.A. No. 
77-081 ^^CV-W (W.D. Mo,, settled June 19, (979). As 
cited by Nash v. Califano, 47 Ad, L. 2d 783, 792, n. 1 3. 



management initiatives have been slowed by the above 
events, other voices have urged increased emphasis on 
management. A 1977 survey of Chief ALJs by the Civil 
Service Commission's advisory committee on case 
management procedures showed widely inconsistent 
practices in this regard. In 1978, the General 

Accounting Office (GAO) concluded that a system was 
needed for applying personnel management techniques 
to administrative law Judges, through the development 
by agencies of objective quantitive and qualitative 
performance standards with periodic performance 
evaluation by a central organization. °° In 1979, in a 
follow-up report, the GAO reported that little had 
changed. °° The American Bar Association's 

Commission on Law and the Economy, in 1 979, also 
urged improved management of agency adjudications. 

A number of agencies have taken the first step to 
performance evaluation by developing In-house data 
collection systems. And we reaffirm the premise, 

stated in the Administrative Conference's 1975 
statistical report, that "given enough data and with 
careful determination, over a period of several years, of 
what similarities and differences exist among the 
various types of formal administrative cases processed, 
some method of evaluation of ALJ performance may be 
feasible and useful." "^ The Conference's efforts have 



87. Copies of the responses are on file at the 
Administrative Conference. 

88. "Administrative Law Process: Better 
Management is Needed," Report to the Congress by the 
Comptroller General of the U.S., May 15, 1978 (FPCD- 
78-25). 

89. "Management Improvements in the 
Administrative Law Process: Much Remains to be 
Done," Report by the Comptroller General of the U.S., 
May 23, 1 979 (FPCD 79-44). 

90. Federal Regulation: Roads to Inform, ABA 
Commission on Law and the Economy, Final Report 
1979, pp. 101-104. 

91. Agencies that have developed the most 
systematic in-house data collection systems for their 
adjudicative activity are CAB, FERC, ICC, NLRB, and 
SSA. 

92. Federal Administrative Law Judge Hearings- 
Statistical Report for 1975 (Administrative Conference 
of the U.S., 1977), ^5; 



20 



been encouraged by Congress, by GAO, and by 
other commentators. Publication of this second 

volume of statistics covering three years will, at a 
minimum, encourage a heightened and more informed 
debate about this issue. 



93. "Delay in the Regulatory Process," Senate 
Committee on Governmental Affairs", 95th Congress, 
1st Session, (Committee Print, July 1977): "The 
Conference's present efforts to collect uniform 
statistics from regulatory agencies is a step in the right 
direction, but needs refinement, enforcement 
capability, permanence, and adequate funding." 

94. Of. Report of the Comptroller General, supra 
note 88, at 48. 

95. See, e.g. , Morgan, Toward o Revised Strategy for 
Ratemal<Tng7 T8 U. of III. L. For. 21, 34, n, 63 (1978); 
Pedersen, The Decline of Separation of Functions in 
Regulatory Agencies, 6in/a. L. Rev. W\ , 993 {\97SJ- 
ana Mans, Selecting The Hidden Judiciory; How the 
Merit Process Works '\n_ Choosing Adrninistrative Law 
Judges (Part I), 63 Judicature 60, 63 (1979). 



21 



APPENDIX A 

NUMBER OF ADMINISTRATIVE LAW JUDGES SERVING, BY AGENCY 

NUMBER OF ALJs 

AGENCY OR DEPARTMENT Jan 1979° June 1980*' 

Agriculture, Department of 5 5 

Alcohol, Tobacco and Firearms, Bureau of (Dept. of the Treasury) ...... I I 

Civil Aeronautics Board 17 II 

Commodity Futures Trading Commission 4 4 

Consumer Product Safety Commission I ^ 

Drug Enforcement Administration (Dept, of Justice) I I 

Environmental Protection Agency 6 7 

Federal Communications Commission 14 13 

Federal Energy Regulatory Commission .................... ..... 23 22 

Federal Labor Relations Authority 4 10" 

Federal Maritime Commission 7 7 

Federal Mine Safety and Health Review Commission 12 18 

Federal Trade Commission 12 12 

Food and Drug Administration (Dept. of H.E.W.) ................ — ... I I 

Housing and Urban Development, Department of I I 

Interior, Department of the 8 13^ 

Interstate Commerce Commission 61 55 

Labor, Department of 49 66 

Maritime Administration (Dept. of Commerce) 3 3 

Merit Systems Protection Board I I 

National Labor Relations Board 98 115 

National Transportation Safety Board 6 6 

Nuclear Regulatory Commission I I 

Occupational Safety and Health Review Commission 47 48 

Postal Rate Commission 09 

Securities and Exchange Commission 8 7 

Social Security Administration (Dept. of H.E.W.) 660 698 

U. S. Coast Guard (Dept. of Transportation) ......................... 16 16 

U. S. International Trade Commission ............................... 2 2 

U. S. Postal Service , . 2 2 



TOTAL: 1070 1146 



NOTESs 

a. Data derived from "Management improvements in d. The FLRA was created in 1979 by the Civil 
the Administrative Law Process: Much Remains to be Service Reform Act. 

Done", Report by the Comptroller General of the U.S., ^^ ^ ■ , ^ , , ^r 1 1 , j- ouiij 

FPCDI79-44, May 23,1979 (Appendix III). «• Does not include I I GS-14 Indian Probate Judges. 

b. Information obtained from Office of Adminis- ^ *-. The MSPB was created in 1979 by the Civil 
trative Law Judges, 0PM, June 1 980. ?^''y"=!,R?/°'''^ ^'=V ^^'^ .Position was formerly located 



c. Position is temporarily vacant due to a ,, ^^ j ^ ^l r. ^ , r-. ^ 

retirement. 9- The position allotted to the Postal Rate 



in the Civil Service Commission. 

g. The position allotted 
Commission has been vacant since 1977. 



22 

APPENDIX B 

Selected Bibliography: Mcrto-ials on Administrative Low Judges 



Govanment Reports 



Administrative Procedure ]n Government Agencies, 
Report of the Committee on Administrative Procedure 
Appointed by the Attorney General, S. Doc. No, 8, 77th 
Cong., 1st Sess. (1941). 



E. Kintner, R. Doyle, E. Reynolds, and L. Winings, 
Appointment and Status of Federal Heoring Officers, 
Report of Committee on Hearing Officers of the 
President's Conference on Administrative Procedure 
(August 10, 1954). 

R. Lester, J. McElwain, L. Meloy, W. Scharnikov, 
Appointment and Status of Federal Hearing Officers, 
Report to the President's Conference on Administrative 
Procedure (September 3, 1 954). 

Legal Services and Procedure, A Report to the Congress 
by the Commission on Organization of the Executive 
Branch of the Government, Recommendation No. 52 
(March I 955). 

Lester, Report on Section \\^ Hearing Examiners, to the 
Committee on Personnel, Administrative Conference of 
the U.S. (August 23, 1 962). 

Park, Report of the Committee on Personnel in Support 
of Administrative Conference of U.S. Recommendation 
69-9, I ACUS Reports 381 (1969). 

Report of the Committee on the Study of the 
Utilization of Administrative Law Judges ("LaMacchia 
Committee Report"), U.S. Civil Service Commission 
(July 30, I 974). (With various subcommittee reports in 
appendix.) 

Social Security Administration Needs to Better Manage 
the Travel of its Administrative Low Judges, Report of 
the Comptroller General of the United States, 
MWD-76-l8(December 5, 1975). 



Rosenblum, The Administrative Law 
Administrative Process: 



Judge jn the 

Interrelations of Case Law 



with Statutory and Pragmatic Factors in Determining 
ALJ Roles, printed in Subcomm. on Social Security of 
the House Comm. on Ways and Means, 94th Cong., 1st 
Sess., Recent Studies Relevant to the Disability 
Hearings and Appeals Crisis, 171-245 (Comm. Print 
December 20, 1 975). 

Staff of Subcommittee on Social Security, House 
Committee on Ways and Means, 95th Cong., 1st Sess., 
Background Material on H.R. 5723: Conversion of 
Temporary Social Security ALJ's (Comm. Print April 18, 
1977). 

Final Report of the Advisory Committee on 
Administrative Law Judges, U.S. Civil Service 
Commission (February 14, 1978). 



Administrative Law Process 
by 



Better Management ]s 
the Comptroller General to 



Needed, Report 

Congress, FPCD-78-25 (May 1 5, 1 978). 

Staff of Subcommittee on Social Security, House 
Committee on Ways and Means, 96th Cong., 1st Sess., 
Social Security Administrative Law Judges: Survey and 
Issue Paper (Comm. Print January 27, 1979) 

Management Improvements jn the Administrotive Low 
Process; Much Remains to Be Done, Report by the 
Comptroller General of the U.S., FPCD-79-44 (May 23, 
1 979). 

Sharon, Validation of the Administrative Law Judge 
Exomination, Examination Services Branch, Personnel 
Research and Development Center, Office of Personnel 
Management (Draft 2/13/80). 

Testimony before the Committee on Governmental 
Affairs, U.S. Senate, on S. 262 and S. 755 (May-June 
1979). 



23 



Testimony before the Subcommittee on Administrative 
Practice and Procedure, Committee on the Judiciary, 
U.S. Senate, on S. 262 and S. 755 (July 1979). 



Cramton, Title Change for Federal Hearing 
Examiners? A Rose by Any Other Name . . ., 40 Geo. 
Wash. L. Rev. 918(1972). 



Testimony before the Committee on Post Office and 
Civil Service, U.S. House of Representatives, on 
H.R. 6768 (March-April 1980). 



Zwerdling, The Role and Functions of the Federal 
Hearing Examiners, 400 Annals 27 (1972). 

Dullea, Development of the Personnel Program for 
Administrative Law Judges, 25 Ad. L. Rev. 41 (1973). 



Articles 

Fuchs, The Hearing Examiner Fiasco under the 
Administrative Procedure Act, 63 Harv. L. Rev. 759 
(1950). 

Thomas, The Selection of Federal Hearing Examiners; 
Pressure Groups and the Administrative Process, 59 
YaleL. J. 431 (1950). 

Fuchs, The Hearing Officer Problem— Symptom and 
Symbol, 40 Cornell L. Q. 281 (1955). 

Auerbach, Scope of Authority of Federal Administrative 
Agencies to Delegate Decision Making to Hearing 
Examiners, 48 Minn. L. Rev. 823 (1964). 

Miller, The Civil Service Commission's New Hearing 
Examiner Recruitment Program, 17 Ad. L, Rev. 104 
(1964). 

Fuchs, Hearing Commissioners, 30 N.Y.U. L. Rev. 1 267 
(1965), 

Macy, The APA and the Hearing Examiner; Products of 
g Vioble Political Society, 27 Fed. B. J. 351 (1967). 

Miller, The Need for Improvements in the Hearing 
Examiner Recruitment Program of the Civil Service 
Commission. 1 9 Ad. L. Rev. 3 1 9 ( 1 967). 

Von Rintelin, Hearing Examiner Recruitment and the 
Government Lawyer, 35 I.C.C. Prac. J. 7 (1967), 

Miller, The Vice of Selective Certification m^ the 
Appointment of Hearing Examiners, 20 Ad. L. Rev. 477 
(1968). 

Scalia, The Heoring Examiner Loan Programs, 1971 
DukeL. J. 319(1971). 



Miller, The Education end Development of Adminis- 
trative Law Judges, 25 Ad. L. Rev. I (1973), 

Zwerdling, Reflections on the Role of on Administrative 
Law Judge, 25 Ad. L. Rev. 9 (1973). 

Symposium; Review of Administrative Adjudication, 26 
Ad. L. Rev. 49(1974). 

M. Schmidt, A^ Reexamination of the Examination for 
Administrative Law Judges (1974) (unpublished paper on 
file at the Administrative Conference). 

Comment, Social Security Hearings for the Disabled— 
Who Decides; Trial Examiners or Administrative Law 
Judges?, 69 Nw. U. L. Rev. 915 (1975). 

Pfeiffer, Hearing Cases before Several Agencies- 
Odyssey of an Administrative Law Judge, 27 Ad, L. Rev. 
217(1975). 

Champagne & Danube, An Empirical Analysis of 
Decisions of Administrative Law Judges ]n the Social 
Security Disobility Program, 64 Geo. L. J. 43 (1975). 

Hayes, Social Security Disability and the Administrative 
Low Judge, 17 A.F. L. Rev, 73 (1975). 

Segal, The Administrative Law Judge— Thirty Years of 
Progress and the Road Ahead, 62 A.B.A. J. 1425 (1976). 

Abrams, Administrative Law Judge Systems; The 
California View, 29 Ad. L. Rev, 487 (1977). 



Davis, Judicialization of Administrative Law; The Trial 



Type Hearing and the Changing Status of the Hearing 
Officer, I 977 Duke L. J. 389 ( 1 977). 

Marzloff, Delay ]r[ Review of Initial Decisions; The 
Case for Giving More Finality to the Findings of Fact of 
the Administrative Law Judge, 35 Wash. & Lee L. Rev. 
393(1978). 



24 



Mogel, Effect of a Claim of Privilege upon the Subpoena 
Power of on Administrative Law Judge, 28 Drake L. 
Rev. 67(1978-9). 



Administrative Procedure Act, Promotion to Chief 
Hearing Examiner at Increased Compensation, 42 Op. 
Att'y Gen. 289 (November 24, 1964). 



de Seife, Administrative Law Reform; A Focus on the 
Administrative Low Judge, 13 Vol. U. L. Rev. 229 
(1979), 



Scalia, The ALJ Fiasco— A Reprise, 47 U. Chi. L. 
Rev. 57(1979). 

Pops, The Judicialization of Federal Administrative Law 
Judges; Implications for Policymal<ing, 81 W. Va. L. 
Rev. 169(1979). 



The Case for the Administrative Trial Judge, transcript 
of hearing of the Administrative Conference of the 
U.S., Committee on Personnel, April 15-16, 1.969. 
Published by the Federal Trial Examiners Conference 
(1969). 

Administrative Conference of the United States, 
Recommendation No. 69-9, Recruitment and Selection 
of Hearing Examiners, I C.F.R. 305.69-9 (1980) (adopted 
1969). 



Mosher, "Here Come the Administrative Law Judges", 
National Journal, July 28, 1979, at 1247. 



Ruhlen, Manual for Administrative Low Judges 
(Administrative Conference of U.S., 1974). 



Mans, Selecting the Hidden Judiciary: How the Merit 
Process Works in Choosing Administrative Law Judges 
(Parts 1 & ]l), 63 Judicature 60, 1 30 (Aug. & Sept. 
1979). (Full text of paper is on file at the 
Administrative Conference.) 

Klement, "Hidden Judiciary Fights Back", National Law 
Journal, September 24, 1979, at I. 

Improving the Administrative Process— Time for a New 
APA?, (Proceedings, National Conference on Federal 
Regulation: Roads to Reform, September 27-28, 1979, 
Panel IV, Part C, "Role of the Administrative Law 
Judge"), 32 Ad. L. Rev. 357 (1980). 



Fauver, The Role and Functions of Administrative Law 
Judges ]n the United States of America (October 
1975). (Statement of the Federal Administrative Law 
Judges Conference to the 1975 World Conference on 
World Peace through Law, in Washington, D.C.) 



Administrative 
Adm 



MurninisiruTive Procedure Act — Reprimand of 
Administrative Law Judge, 43 Op. Att'y Gen., No. 9 
(January 18, 1977). 

Symposium on a Unified Corps of Administrative Law 
Judges— How Will ]t Work?, A.B.A. Judicial Adminis- 
tration Division, Conference of Administrative Law 
Judges (January 28, 1 977). 



Mashaw, et aU, Social Security Hearings and Appeals 
(Lexington, 1978). 



Other 



The Administrative Law Judge Corps of the United 
States, paper prepared for the Federal Administrative 
Law Judges Conference (October 1 978). 



Administrative Procedure Act, Promotion of Hearing 
Examiners, 41 Op. Att'y Gen. 74 (February 23, 1951). 

Musolf, Federal Examiners and the Conflict of Law and 
Administration ( 1 952). 



H. Markey Chief Judge, U.S. Court of Customs and 
Patent Appeals, B^ Any Other Name, speech May 7, 
1979, on file at the Administrative Conference. 

U.S. Office of Personnel Management, Announcement 
No. 318, Administrative Law Judge (1979). 



25 



CHAPTER H: DATA GATHERING HETHODS 



This report contains caseload and case-processing 
statistics for every Federal agency and department 
(hereinafter referred to as "agency") which employed its 
own administative law judge (ALJ) in fiscal years 1976- 
1978. Eighteen agencies filled out and submitted cards 
provided to them by ACUS for every case that was 
closed by that agency during the period. (A copy of this 
card may be found as an appendix to this chapter.) One 
agency (SEC) submitted a computer tape containing the 
same information sought by the cards. Three agencies 
(EPA, FCC, Interior) submitted a sampling of cards and 
added some pretabulated information to the sampling. 
Thus, twenty-two agencies submitted some cards (or the 
equivalent) for tabulation. Additionally, six agencies 
(CFTC, FMSHRC, ICC, NLRB, OSHRC, and SSA) 
submitted statistics in pretabulated form. We tabulated 
the information received on all cards, and added the 
other pretabulated information for presentation in this 
report. 



THE RETORTING SYSTEM 

Each of the 22 reporting agencies was provided with 
blank cards and instructions on how to complete them. 
They were told that whenever a proceeding reaches the 
stage of referral to the agency's office of ALJs (usually 
the Chief ALJ's office), a "case-opened" 'card is to be 
completed and held for forwarding to ACUS at the end 
of that quarter. (This means that cases terminated 
before referral to the office of ALJs are not "counted" 
by the system.) When the case is opened, a separate 
"case-closed" card is also started, to be filled in as the 
case proceeds to termination. When the agency 
terminates the case by whatever manner (as long as the 
termination represents final agency action and occurs at 
some stage after referral to the office of ALJs), the 
"case-closed" card should be completely filled In and 
forwarded to ACUS at the end of that quarter. 
Additionally, each agency submits a caseload inventory 
form every quarter, broken down by type of case, 
summarizing the number of cases opened and closed in 
that quarter as well as giving figures for the pending 
caseload. Each agency was asked in advance to 
categorize its formal cases, using some functional 
characteristic as a guide. Thus, cases were categorized 
by governing statute (e.g., "Horse Protection Act" 
cases), by subject matter (e.g., CAB "Merger and 
Agreements" cases), or by agency organizational 
structure (e.g., FTC "Bureau of Consumer Protection" 
cases). Not every case type identified by the agencies 



gave rise to closed cases in the period covered by this 
report. 

The "case-closed" cards are designed to provide key 
facts about each proceeding without unduly burdening 
the agency with record-keeping chores. Four main 
categories of information are obtained from the cardss 

I— Key Dotes and Intervals— Dates of occur- 
rence of key steps In the proceeding— from the 
earliest agency action to final agency decision. 
From these dates are derived the times consumed 
by each of three basic stages in the case: the time 
elapsed In the agency's handling of the case before 
it is referred to the office of ALJs; the time 
elapsed while the case is in the custody of the ALJ; 
and the time elapsed during the agency's review of 
the ALJ's decision. 

II — Manner and Stage in which Proceedings 
Terminated — The manner In which a case is 
terminated: by a decision on the merits after a full 
hearing; or by settlement, withdrawal, or 
dismissal — and whether before a hearing or after a 
partial or full hearing. 

Ill — ALJ's Decision Reviewed — Whether or not 
the initial decision Is reviewed by the agency, and if 
so, the outcome of the review. 

IV— Time and Effort Index— Indications of the 
complexity of the case such as the number of days 
and hours of hearings; the number of motions, 
parties, evidentiary documents; and the number of 
pages of briefs, transcripts, exhibits and the written 
decision. 

The following discussion provides more detail about 
the information sought with respect to the above 
categories, the instructions to the agencies and 
problems encountered In the data collection, processing, 
and presentation. 

I — Key Dates and Intervals 

The reporting card provides boxes, numbered to 
21, for recording the dates of as many as 22 procedural 
steps in the life of an administrative case. Each case is 
subdivided into three basic stages: the prehearing, 
hearing and posthearing stages. 

A) The Prehearing Stage. A case may begin in 
several different ways, depending on the type of case 
and the particular agency's case initiation procedures. 
As stated above, a case is entered into the Uniform 
Caseload Accounting System when It is referred to the 
Chief ALJ's office. That date is to be entered In Box 
7. At that point we ask the agency to determine the 
dates of earlier agency action and enter them in Boxes 
0-6. If the case was begun by an application, a private 



26 



complaint, a petition, or a preliminary determination of 
violation made at an inspection, the applicable date of 
that event is to be entered in Box I. if the application 
or petition is denied or if the private complaint or 
agency inspection has led to a preliminary investigation 
or to a citation or notice of violation, then the date of 
denial, order of preliminary investigation or notice of 
violation is entered in Box 2. In some types of cases, 
the origination of the case occurs with an event that is 
more appropriately entered in Box 2, and Box I is left 
blank. Boxes 3 through 6 are provided for recording 
dates of other procedural steps a case may go through 
prior to referral to the ALJ for hearing. These steps 
include a formal order of investigation, a formal 
complaint, a staff recommendation of hearing, 
completion of an environmental impact statement, and 
issuance of a formal order or notice of hearing. Not all 
cases go through the same prehearing steps. As we 
learn more about the various types of cases and the 
prehearing steps, we may be able to refine our data 
collection for this stage. In this report our more limited 
objective Is to present some idea of how long the 
prehearing stage takes for the various case types. 

We have asked that the first date filled in on the 
card (be it in Box I, Box 2, or Box 3) also be entered in a 
separate Box marked "origination of case." The 
interval between this first date in Box and the date in 
Box 7 is the time span for the prehearing stage of a 
case. We have found that the prehearing phase of a 
case presents one of our most difficult data-gathering 
problems. It is often difficult for an agency to pin down 
the exact date that a case originates, especially if the 
first action in the case occurs in a field office. Thus, 
although we have asked the agencies to record the date 
of the earliest action in a case, sometimes agencies 
were not able to ascertain this information, and in such 
cases supplied the earliest identifiable date. This 
would, of course, cause the prehearing stage to appear 
less time-consuming than it actually was. We have 
pointed out instances of this deficiency where they are 
known to us, but the reader should bear in mind that 
there may be other instances, unknown to us, where the 
prehearing interval, as recorded, is misleadingly short. 

B) The Hearing Stage. The hearing stage 

encompasses the period during which the ALJ has 
control of the case. Boxes 8- 1 4 are provided for 
recording dates of procedural events during the hearing 
stage (assignment to individual ALJ, pre-hearing 
conference, first and last days of hearing, and the 
closing of the record). Box 14 is for the date the ALJ's 
decision or order is released. Because agency records of 
the dates entered in Boxes 7 and 14 are relatively 
certain and reliably retrievable, the elapsed-time 
statistics computed for the hearing stage would appear 



to be quite reliable. As a refinement to the charts in 
our fiscal year 1975 report, in this report we have 
divided the elapsed time statistics for the hearing stage 
into two groups—those cases decided on the merits 
where the ALJ conducted a hearing, and all other cases. 

C) The Posthearing Stage. The posthearing stage 

begins when the Al I's decision or order is released. The 

case then may or may not be reviewed by the agency 
head (i.e., a full board or commission, or panel thereof, 
or an individual administrator). Review procedures vary 
almost as widely as prehearing procedures. In some 
agencies review by the agency is within the discretion 
of the agency and is infrequent. In others, appeal may 
be had by right and review is frequent. In some, review 
is mandatory. Boxes 1 5 to 2 1 are provided for recording 
dates of procedural events during the posthearing 
stage. These include the filing of an appeal from, or 
exceptions to, the ALJ's decision, perfecting the appeal, 
recommendation by review staff, and oral argument. 
The date of final agency action is to be entered in Box 
21. Where review of an ALJ's decision has occurred, its 
completion should be recorded as the date when the 
agency's decision is released for publication. (Any 
waiting period that may be required before the decision 
has legal finality is not to be included.) Where there is 
no review on the merits, the agency, in effect, adopts 
the ALJ's decision as its own. This is usually done by an 
order issued after a short period of time has elapsed 
(e.g., after a 30-day time limit on appeals has expired). 
We have had some difficulty achieving consistency in 
the completion of this portion of the card in cases 
where there was no review by the agency. Although in 
some instances the short time span for the agency's 
order-issuing process was properly reflected, sometimes 
the date in Box 14 (ALJ's decision) was entered in Box 
21 as well. We wanted to make sure that we could 
obtain information about the posthearing time span for 
those cases which were reviewed. Therefore, before 
calculating the elapsed time between dates 14 and 21, 
we divided the cases into two groups: those reviewed 
and all other cases. The first group included only the 
cases on which the agency review portion of the card 
was completed. The latter group included those cards 
on which that portion of the card was left blank. Thus, 
those cases we know were reviewed are isolated from 
the rest. 

D) Total Elapsed Time. Finally, we present the 
total time elapsed from start to finish (0-21) in a case. 
Again we have separated the cases into the same two 
groups used to isolate out those cases that were 
reviewed. Of course, the informational deficiencies 
relative to the prehearing stage, noted above, may 
affect the validity of the total elapsed-time data. 



27 



11— Mfffiner wid Stage in which Proceedings Terminated 

The manner and stage of termination of a case ore 
important variables affecting the duration of the case. 
Termination of a case can be with or without a formal 
decision on the merits. For a case terminated without a 
formal decision on the merits, one of the following four 
boxes is to be checked to indicate the procedure by 
which termination occurred: 

SETTLEMENT/COMPROMISE; Where all parties 
agree on a settlement of all issues and this 
terminates the proceeding. 

WITHDRAWAL/CONSENT: Where parties or re- 
spondents, usually in an enforcement type 
proceeding, accept the agency's demands in 
sufficient degree to permit withdrawal of the 
formal complaint and/or issuance of a consent 
order. 

MOTION TO DISMISS / DISCONTINUANCE: 
Where proceedings terminate for jurisdictional or 
procedural reasons, insufficient statutory basis for 
the action, or failure of the moving parties or the 
agency adequately to support an application, 
petition, complaint, etc. Also included in this 
category are those cases in which the action ends by 
the parties' or the agency's discontinuing it or being 
granted a motion to dismiss. 

OTHER: Any termination without formal deci- 
sion which does not fit the above categories. 

These four categories of termination procedure are 
neither as precise nor as illuminating (in the context of 
a particular proceeding) as one might like. Only by 
knowing the nature of the case can the significance of 
the manner of termination be fully grasped. For 
instance, a dismissal of an enforcernent proceeding 
means the agency's case has been dismissed. Dismissal 
of an application for permit means that the private 
applicant has lost his case. We have tried to describe 
each case type in such a way that the manner of 
termination is meaningful, although we hove not 
attempted to obtain data on which party prevailed in 
each case. 

If a case fell into one of the four categories of 
termination without a decision on the merits, we asked 
the agency also to note whether the termination was 
without a hearing or whether it occurred after a partial 
or full hearing. 

For cases terminated with a decision on the merits, 
one of the following three boxes was to be checked to 
indicate the manner of decisions 

AN ALJ HEARING & DECISION: The standard 
initial decision by the ALJ. 

AN ALJ HEARING WITHOUT ALJ DECISION: 
Where the agency's procedural rules permit the 
parties to waive the ALJ's decision and move 



directly for a final decision by the agency. Also 
included are cases in which the ALJ does not make 
a decision but merely certifies the record to the 
agency for decision, 

AN ALJ ACTION OR DECISION WITHOUT 
HEARING: Where the agency's procedural rules 
permit an ALJ to render a decision on the basis of 
the submitted record, without hearing. 

It should be apparent that we are able to determine how 
many cases went to at least a partial hearing. 
Furthermore, by isolating different combinations of 
manner and stage of termination along with the 
presence or absence of review by the agency, it may be 
possible to draw more refined conclusions about elapsed 
time. For example, if an agency's 20 enforcement cases 
took an average of 300 days from start to finish, more 
detailed analysis might show that this average includes 
1 5 ALJ hearings and decisions averaging 375 days, and 5 
dismissals without hearings averaging 75 days. The 
numbers may seldom be that dramatic, but we have 
tried to shed as much light as we can on the significance 
of averages. 

Ill— Review of ALJ Decision 

For cases terminated with a decision on the merits, 
we asked the agencies to record the fact that the ALJ's 
decision was reviewed by the agency. We also asked for 
the outcome of agency review: whether the ALJ's 
decision was affirmed, reversed, modified significantly, 
or remanded. The card also sought information about 
how agency review was initiated (i.e., whether by 
exceptions of agency staff or of non-agency parties, and 
whether the review was standard agency policy or was 
at the initiative of the review authority). 

IV— Time and Effort Index 

Where a partial or full hearing was held in a case we 
asked the agency to fill in a series of boxes {"Time and 
Effort Index") intended to show the time and effort 
expended by the ALJ, and meant to give a rough 
indication of the complexity of the case. The entries 
are as follows: 

A) PREHEARING & HEARING (SEPARATE 
DAYS): The number of days on which any f)ortion of 
a prehearing conference or hearing took place, 
including conferences and evidentiary hearings 
relating to substantive motions and interlocutory 
appeals. 

B) PREHEARING & HEARING (ACTUAL 
HOURS): The approximate total number of hours 
devoted to all activities referred to in (A) above. 

C) NUMBER OF PARTIES & INTERVENORSs 
The approximate number of separate parties, 
claimants, respondents, intervenors, petitioners, 
etc. (including the agency as a party) who appeared 



28 



in the proceeding. 

D) HOURS OF ALJ TRAVEL: The approximate 
number of hours, including evenings and weel<-end 

hours, the Al I was required to spend in travel to 

and from hearings and conferences for any part of 
the proceeding. (Note— the instructions for this box 
were imprecise, and we are not confident about the 
accuracy and consistency of these entries. There 
does not seem to be, among the agencies, a uniform 
definition of "travel status".) 

E) NUMBER OF CONTESTED MOTIONS: The 
number of motions handled by the ALJ which either 
were contested or involved substantive rather than 
minor procedural or administrative matters. 

F) NUMBER OF EVIDENTIARY DOCUMENTS 
(EXCLUDING BRIEFS & TRANSCRIPTS): The 
aggregate number of separate documents 
comprising the record (e.g., exhibits, 
interrogatories, depositions and other discovery 
documents and pre-trial memoranda). 

G) NUMBER OF PAGES OF BRIEFS: 
Approximate number of pages of all briefs. 

H) NUMBER OF PAGES OF TRANSCRIPTS: 
Approximate number of pages of transcripts. 

1) NUMBER OF PAGES OF EXHIBITS: Approx- 
imate number of pages of exhibits and other 
evidentiary documents. 

J) NUMBER OF PAGES OF WRITTEN 
OPINION: Approximate number of pages of ALJ's 
written opinion. 

K) ORAL ARGUMENT: Was there oral 
argument before the ALJ? 



DATA PROCESSING 

The completed cards were forwarded quarterly to 
ACUS. Except for the visual inspection and computer 
editing described- below, we relied on the reporting 
agencies for the accuracy of their entries. We made no 
attempt to verify whether or not the agencies were 
correctly reporting the dates and other information 
about each case unless we discovered some 
inconsistency in the data. Where our editing revealed 
errors, we asked the reporting agencies to supply the 
correct information. 

Initially, each card was examined for legibility and 
to see whether the information on the cord was entered 
in the proper place. Incomplete or incorrectly filled out 
cards were returned to the agency for further 
attention. In this respect, the data contained in this 
report is much more comprehensive than that contained 
in our FY 1975 report, although in some instances 
complete data (especially on pre-hearing and post- 
hearing activity) was still unavailable. The cards were 
then coded by ACUS staff and visually inspected for 
apparent errors, in preparation for transferring the data 



to magnetic tape. For each cose, code numbers were 
assigned for the agency, the type of case, the ALJ, and 
other non-numerical data such as manner and stage of 
termination. Dates were examined to moke sure they 
were written numerically as a string of double digits for 
day, month, and year, in those few instances where only 
the month and year were given, the entry was filled out 
by arbitrarily making the day the 15th (e.g., 01/74 = 
01/15/74). In the time and effort section, any fractions 
were rounded up to the next higher whole number and 
any zeros appearing in these boxes were analyzed. Our 
guiding principle, aside from the exception noted below, 
was that if there was no hearing in the case, the time 
and effort boxes should have been left blank—so any 
zeros entered in the boxes in such cases were converted 
to blanks. In this way, the averages obtained for time 
and effort were not misleodingly lowered by the 
inclusion of zeros from nonhearing cases. However, if, 
as occurred occasionally, a non-hearing card did contain 
some entries (other than zero) in this part of the card, 
those numbers were retained. (Several of the entries, 
such as the number of parties, motions, or pages of 
decision could legitimately be recorded in a non-hearing 
case and were therefore retained for averaging 
purposes.) If there had been a hearing or partial hearing 
in a case, we retained all entries (including zeros) and 
left any blanks blank. 

The coded cards were keyed directly onto magnetic 
tape with independent verification. They were then 
subjected to a comprehensive computer edit for 
consistency and completeness. This process created a 
master file, on tape, of all the information from the 
cards for those cases that had passed the edit. Agency 
and case codes were checked for validity, and date 
entries were checked to insure that they represented 
actual dates. The entry in Box was checked to make 
sure that it was the same as the earliest date 
recorded. The four key dates (Boxes 0, 7, 14, 21) were 
checked to make sure they were complete and in proper 
chronological order. Although a further attempt was 
made to obtain missing key dates, the agencies were not 
always able to supply them. Where this follow-up did 
not elicit more complete information on key dates, the 
cases were nevertheless added to the master file, 
provided they contained no further errors. In addition, 
the manner of termination of proceedings was checked 
to make sure that there was an entry for either "with" 
or "without" formal decision on the merits and not for 
both. 

We tightened our computer editing procedure 
considerably as compared to our FY 1975 process, 
primarily by adding many consistency checks to Insure 
that dates were properly chronological and that 
mutually exclusive entries were not made in the 



29 



manner-and-stage-of-termination and review segments 
of the data. The computer editing procedure screened 
out for correction approximately 15—20% of the 15,399 
cards processed. The errors were corrected, the data 
re-keyed onto tape, re-edited, and merged into the file 
of cases for which no error had been detected. The 
program for creation of the master file (including the 



edit program) was written to our specifications by the 
Department of HEW's Data Management Center. After 
creation of the master file on tape, computation and the 
compilation of the resulting tables contained in this 
report were performed by an attorney on our staff, with 
the assistance of HEW, using the Statistical Package for 
the Social Sciences (SPSS) on an IBM 370 System. 



APPENDIX The Reporting Card 



Cdse/Docket Number 



Priv. Compldjnt/Apptrc./ 
rf& Claim/Petition |. f<EY 

m 1 AND 

Citation/Viol. Notice/Claim 
^^ Denied/Prel 

•^ I Investigation 

Staa of/Order for Inve5tigat'n/| 

^^ Pre-ALJ proc' 

1^^ I ding or review 

Furinal Complaint/staff recom' 
jsflb nds hearing or mod, proc 

m I 



DATES 
INTERVALS 



: Type or Class of Case and Statutory, Section 



Regional or 
District Office 



LAW JUDGE 
ASSIGNED 



Safety/environ, research done/ 

Contest. PJead'gs 
I Complete 

Order/Notice of Evidentiary 

jrf»v Proceeding or Hrg 



@_ 



Assigned to ALJ Pre-Hrg Conf, 

H , @ 



First Day Hrg. Last Interloc. Ordei 



Appeal/Excep. Appeal Perfected/Briefs 
i^fo Filed if^^ Opposing Exceptions 



Review Staff Rev. BD/Commission Oral 

^sB^ Recom'dat'n ^igv Argument 



Rev. BD/Com. Referred for Agency HD 

^«i^ Decision jra* or |CAB) Presidential 

Rev. 



ACUS 3 Administrative Conference of U.S. 




II. MANNER & STAGE IN WHICH PROCEEDINGS TERMINATED 



-WITHOUT - 



FORMAL DECISION ON THE MERITS 

□ Selllement/ I I "o'"- Oiimi^i 
Compromise | \ Discontinuani 

□ Wiltldrawal I I Other 
Consent I I Sue Reverse 



V^ 



Without hrg, 



□ After partial or 
full hrg, 



BY 



-WITH- 



r 


V- Time & Effort Index 


1 








Approx. Number 


ALJ 


Rev. Bd 


PHC i 


J Separate Doys 






or Hr 


^ \ Aggregate Hrs, 






No. P 

Interv 


srties, Respondents 
enors 




X 


Hrs ALJ ir Travel 




No. Contested Motions 






No Evidendtial Docs. & 
bxhjbits (Excl. Briefsl 






Pages y o Briefs 
o( / o Traiiscript'., 
j/^ Exhibits, etc. 
^ o Written Decision 


















\Oral Arg. (Yes/No} 




y 



RMAL DECISION ON THE MERITS 
LJ Hearing & Decision 



An ALJ Hearing w/out ALJ 
Decision (e.g. where waived) 



D 

□ An ALJ Action or Decision w/out 
Hearing (e.g. Decision on the rec- 
ord or on motion) 

III. ALJ's DECISION REVIEWED BY 

□ intermed. I j Agency Head/Bd 
Board (FCC) ! J O"" Commission 



RESULTING FROIVI 



Exceptions I I Non-Agency 

LJ Parlies 



Filled 

nlNITiAl" 
REVIEW 



Dst^; 



V£ OF 
W AUTHORITY 



□ STANDARD 
AGENCY 
POLICY 



If Agcy Reviewed Al I Decision, the Outcome 

n D n D D 

Summary Affirm Reverse Modify Remand/ 
Alfirm With Sign if i- other 

W/Out / cantly 



Opinion or Discussion 



30 










s^' 



^(?^'l^ 




^u "i> 



^Mn 



y^ . 




^.:1 i t- 



-^*r-> 



v.V 



"R>night, we're going to let the statistics speak for themselves." 



Drawing by Koren; ® 1 974 
The New Yorker Magazine, inc. 



31 



CHAPTER 



STATISTICS FOR FISCAL YEARS 1975-1978 



In the remainder of the report, we present statistics 
for all 28 Federal agencies that employed at least one 
full-time administrative law judge during the fiscal 
years 1976-1978 period. Agencies that borrowed ALJs 
or that conducted adjudications without using ALJs ore 
not included. The 28 agencies are arranged 

alphabetically. Within each agency's report we have 
provided (I) caseload statistics and (2) data on closed 
cases. For the 22 agencies that subrnitted cards on 
individual cases, plus the ICC, a uniform format, 
described below, was followed. For the other five 
agencies (CFTC, FMSHRC, NLRB, OSHRC, and SSA) 
each of which supplied pretabulated information, a less 
uniform approach was required. 



CASELOAD STATISTICS 

We begin each agency's report, where possible, with 
caseload statistics arranged by category of case. 
Caseloads were reported to us quarterly on inventory 
sheets submitted along with completed case-closed 
cards. In this report we present, for each case type, the 
number of cases pending at the beginning of each fiscal 
year, the number of new cases referred to the office of 
ALJs during the fiscal year, and the number of cases 
closed by agency action during the fiscal year. We then 
give the number of cases pending at the end of each 
fiscal year. For purposes of comparison, we also supply 
caseload data for fiscal year 1975, taken from our 
previous publication. 

For each case type we provide a capsule description 
of the cases, as well as citations to the governing 
statutory procedural provisions in the United States 
Code and to the applicable rules of practice in the Code 
of Federal Regulations, 

Except where indicated, the caseload statistics are 
taken from the the inventory sheets submitted by the 
agencies, and the yearly total of closed cases should 
theoretically match the number of case-closed cards 
processed for each case type. A few agencies provided 
case-closed cards for only a sample of their closed 
cases. In some other Instances, however, the number of 
closed cases on an inventory sheet unaccountably 
differed from the number of corresponding case-closed 
cards submitted. It would appear that these 

discrepancies (most of which are minor) resulted from 
the agencies' occasional failure to submit a card for 
every closed case. 



)N CLOSED CASES 
Following the caseload data for each cose type is a 



tabulation of data on closed cases. For twenty-one of 
the agencies that submitted cards, we have developed a 
two-page chart of tabulations for most case types that 
had at least one closed case during the FY 1976-1978 
period. For each of the EPA's and ICC's case types, we 
used a one-page chart. In addition, for the other five 
agencies that submitted pre-tabulated information, we 
present whatever information we have relating to their 
closed cases. Our own tabulations are presented as 
follows: 

Case-Closed Cords Submitted, This yearly figure 
represents the number of cards processed. (As 
explained above, the number should be approximately 
the same as the number of closed cases taken from the 
inventory sheet.) 

Manr>er of Terminoticino The number of cases is 
given for each type of termination. 

Agency Review. The numbers of Al I decisions 

reviewed and not reviewed are reported along with the 
outcome of reviewed cases. Note that all cases are 
accounted for in this section, even though reviewability 
normally is pertinent only to cases decided by the ALJ 
on the merits. 

Elqpsed Time Data. In this report we continue to 
present data on the time intervals for the three 
principal stages of a case— prehearing, hearing, and 
posthearing— as well as the total elapsed time from 
opening to termination of a case. Data with respect to 
intermediate dates within those principal stages are 
retrievable, but we concluded that, absent an agency- 
by-agency analysis, this information was not sufficiently 
useful to warrant inclusion in a government-wide 
report. We have, however, attempted to make the 
statistics on the major stages more meaningful by 
providing a more elaborate breakdown. For each stage 
of a case type we present, by fiscal year, the average 
number of days of elapsed time, taking as the universe 
of cases of a particular type all those cases within that 
case type for which we have a date reported in both the 
first and last boxes for the Interval of the stage. The 
number of such cases is denoted by "N". For example, 
although for FY 1977 the FTC reported 10 closed 
Bureau of Competition cases (see p. 162), for only 9 of 
those cases were dates reported in both Box and Box 
7; the number of cases ("N") in the prehearing stage 
would thus be 9 and the figures reported for that stage 
would be derived from only these 9 cases. In other 
words, for each line in the table, the number of cases 
upon which the data are based Is given In the column 
headed "N". The data in this report are much more 
complete in this regard than the data in our FY 1975 
report. We also provide the minimum and maximum 



32 



elapsed times for each interval, and, instead of 
providing a median as we did for FY 1 975, we provide a 
range of distribution so as to permit the reader more 
readily to spot aberrational elapsed times. Note also 
that the hearing stage is divided into two categories 
(ALJ hearings on merits/all others) as are the 
posthearing stage and total time (with agency review/all 
others). Wherever we have any other information that 
sheds light on the averages, that information is included 
in the notes. 

Time and Effort at the Hearing Stage: We first 
indicate how many of the total cases in that case type 
were heard or partially heard by an ALJ. This is the 
number of cases for which time and effort data should 
be present. In our FY 1 975 report, these data were 
quite incomplete for many cose types. This report is 
markedly more complete in this regard; however, where 
data are missing, the averages, minima, maxima, and 
range of distribution should be discounted accordingly. 
As with the elapsed time data, where an agency did not 
submit complete data on all coses, "N" represents the 
number of cases for which information was received. 
The ten sub-categories in the time and effort index are 
explained in Chapter II. Finally, even though three 
years' data are presented, the number of cases closed 
within some of the case types is quite small, since we 
have included reports on all case types with at least one 
closed case. Therefore, we reiterate our caution, stated 
in our FY 1975 report, that great care must be observed 
when drawing any conclusions from the statistics that 
ore presented for such case types. 



DEFINITIONS 

Except as otherwise noted, the following definitions 
apply to the terms used in this report. 

New Cases: Formal proceedings (including a few 
formal rulemakings) referred to on agency's office of 
ALJs during the year, regard less of whether the case 
actually went to hearing. Cases disposed of prior to 
referral to the office of ALJs are not counted. 

Closed Cases: Cases in which final agency action 
was token during the year (either by agency head or by 
unappealed ALJ decision). 

Pending coses; Cases which have reached the stage 
of referral to the office of ALJs, but remain in the 
pipeline pending final agency action at the close of the 
reported fiscal year. 

T.Q.: Transition quarter (July— September 1976), 
when the fiscal year was changed to start October I. 
Counted as port of FY 1 976. 

N/A: Statistics are not available. Where a case 
category did not exist during a part of the reporting 
period, a dash (— ) is used instead. 



AGENCY ADJUDICATIVE CASELOADS 

The chart on the facing page summarizes the 
caseload data for all agencies covered by the report. 
Figures for CFTC, EPA, FCC, FMSHRC, ICC, Interior, 
NLRB, and OSHRC were provided by the agency in 
pretabulated form. All other figures are derived from 
inventory statements sent to ACUS by the agencies 
quarterly. 

NOTES: 

a. Created in 1 975. No case reports for 1 975. 
Case-closed figures are the sum of closed cases at ALJ 
and Commission levels. 

b. Case-closed figures reflect activity in ALJ stage 
only. 

c. Succeeded the Federal Power Commission In 
1 977. FY 1 975 figures are revised. 

d. Created in March 1 978. Figures given are from 
March 9 to September 30, 1978, and reflect activity in 

the office of Al Is only. Cases transferred from the 

Department of the Interior are not counted as new cases 
but are reflected In the pending figure. 

e. Figures reflect activity in ALJ stage only. The 
pending figure does not include the 1528 cases under the 
Coal Mine Health and Safety Act that were transferred 
to FMSHRC. It also does not include Indian probate 
cases (approximately 2000 per year) which are not 
subject to the APA and are heard by special hearing 
officers, but are otherwise similar to ALJ cases. 

f. Some 1976 data from ICC are missing. Totals 
for that year are probably too low. 

g. Figures reflect estimated totals for Fair Labor 
Standards Act cases. 

h. Until 1977, black lung cases in the Department 
of Labor were not heard by fully-qualified ALJs. 

i. 1975 cases do not include contract appeal cases, 
approximately 1 per year. 

j. NLRB case-closed figures are derived similarly 
to those of other agencies, although the NLRB does not 
consider some coses closed until Federal court action is 
final. 

k. The NLRB pending figure is for cases pending in 
the office of ALJs onlv. Another 500 cases were 
probably pending at Boara level. 

I. 1976 figures are estimates. 

m. SSA case-closed figures in this table were 
determined as follows. We Know the number of cases 
decided by ALJs and by the Appeals Council, but we do 
not know the exact number of cases that were 
terminated (were unappealed) at the ALJ level. For the 
period FY 76-78. there were 631,626 dispositions bv 
ALJs and 1 6 1 ,949 new cases at the Appeals level. 
Therefore a rough estimate is that 74.36% of all ALJ 
dispositions represent final agency action. Thus we can 
arrive at an equally rough estimate of total SSA 
terminations by adding 74.36% of the ALJ terminations 
to the Appeals Council terminations for each year, and 
rounding off. 

n. SSA figures for FY 1 975 were adjusted to include 
Supplemental Security Income cases which, until 1976, 
were not decided by regularh' appointed aaministrative 
law judges. Therefore the FY 1975 figures are higher 
than the figure given in the table (page 22) of our 1 975 
Statistical Report. 

o. Coast Guard 1975 new-case figure is an 
estimate. 



AGENCY ADJUDICATIVE CASELOADS FY 1975-1978 



33 



1975 



AGENCY 

Agriculture 
AT&F 
CAB 
CFTC° 

CPSC 
DEA 

epa'' 

FCC 

ferC^ 

FMC 

FMSHRC <^ 
FTC 



New Closed 



251 


191 


61 


41 


79 


74 


3 





N/A 


N/A 


242 


85 


172 


131 


274 


177 


57 


53 



1976 &TQ 


New 


Closed 


293 


269 


124 


95 


111 


108 


37 


8 


23 


14 


53 


40 


208 


87 


141 


142 


283 


228 


98 


74 



1977 



1978 



New 


Closed 


244 


250 


105 


129 


58 


69 


292 


97 


7 


8 


35 


45 


183 


128 


186 


93 


155 


216 


100 


100 



New Closed 



41 



54 



58 



15 



32 



247 
96 
93 

336 

4 

31 

104 

127 

137 

88 

2147 

•17 



260 
88 
79 

206 

9 

40 

166 

58 

125 

110 

1579 

36 



Finol 
Pending 

120 

57 

103 

414 

7 

II 

304 

353 

390 

103 

1743 

72 



FDA 



HUD 


N/A 


N/A 


272 


245 


Interior ^ 


4353 


9782 


3685 


6885 


DCC^ 


1313 


1154 


807 


934 


Labor 9 


1134 


884 


1773 


1589 


-block lung " 


— 


— 


— 


— 


Maritime Admin. 


5 


4' 


19 


12 


NLRBJ 


3345 


3469 


5185 


4589 


NTSB 


577 


665 


778 


831 


NRC 


39 


27 


18 


18 


OSHRC ' 


2513 


2513 


3950 


3100 


SEC 


77 


114 


85 


127 


SSAi^ 


1 54,945 


111,000" 


203,106 


236,000 


U.S. CSC 


5 


10 


11 


7 


U,S. Coast Guard 


571 ° 


553 


651 


620 


U.S. ITC 


— 


~ 


11 


3 


U,S. Postal Serv. 


160 


127 


251 


251 



6 

213 
1942 
1044 

2277 

1879 

20 

4902 

562 

20 

3311 

69 



4 

225 

2960 

2006 

1687 

988 

19 

5406 

597 

14 

3843 

98 



193,657 191,000 

16 14 

683 648 

8 9 

113 200 



3 

131 

1513 

1371 

2560 

209 

19 

5378 

568 

10 

4331 

30 



182 
1176 
1692 

2167 

1051 

14 

5081 

586 

13 

3777 

54 



196,428 209,000 

27 14 

681 657 

24 10 

133 100 



9 

49 

413 

1694 

1950 
1039 
35 
2642' 

256 

96 

N/A 

127 

83,131 

22 

249 

21 

52 



TOTALS 



170,237 131,095 222,031 256,336 212,102 210,885 216,843 228,331 



95,462 



TOTAL, other 

thmSSA: 15,292 20,095 18,925 20,336 



18,445 19,885 20,415 19,331 



12,331 



■ Footnotes are on facing page (p. 32). 



34 



DEPARTMENT OF AGRICULTURE 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976—1978 

(and FY 1975 from previous publication) 



Case Type 



Cases New Cases 

Pending at Referred to 
FY Start of FY Off ice of ALJs 



Cases Cases 

Terminated Pending at 
by Agency End of FY 



Packers and Stockyards Act 
Disciplinary Proceedings 

7 use 204, 213(b) 

7CFR 1.130-1.151, 9 CFR 202 

Disciplinary proceedings against stockyard owner, market 
agency or dealer, as defined in thie Act, resulting in cease and 
desist order or suspension of registration for unfair, 
discriminatory, or deceptive practices in connection with tfie 
marketing of livestock. 



(75) 




131 


109 




76 


44 


160 


148 


56 


77 


56 


130 


132 


54 


78 


54 


126 


136 


44 



76-78 



416 



416 



Perishable Agricultural Commodities Act 
Disciplinary Proceedings 

7 use 499h(a),(b),(c); 4991 
7CFR I.I30-I.I5I,7CFR47 

Disciplinary proceedings against licensed produce dealer, 
broker, or commission merchant resulting in suspension or 
revocation of license, or in the publication of an adverse 
finding for violation of the record-keeping or fair trade 
provisions of the Act. 



(75) 




36 


22 




76 


22 


26 


31 


17 


77 


17 


29 


31 


15 


78 


15 


33 


36 


12 



76-78 



88 



98 



Laboratory Animal Welfare Act 

7 use 2149, 2150 

7CFR I.I30-I.I5I, 9CFR4 

Disciplinary proceedings against persons engaged in the iole 
of animals for pet or research purposes, or against research 
facilities, resulting in cease and desist orders and suspension or 
revocation of licenses of sellers and facilities for violation of 
humane standards. 



(75) 




18 


9 




76 


9 


19 


22 


6 


77 


6 


15 


17 


4 


78 


4 


21 


2! 


4 



7^-78 



55 



60 



Horse Protection Act 

15 use 1825 

7CFR l.l30-l.l51,9eFR 12 

Civil penalty proceedings against any person charged with 
violation of the Act or regulation thereunder, concerning the 
soring of horses or the exhibition of sored horses. 



(75) 




22 


12 




76 


10 


18 


14 


• 14 


77 


14 


6 


8 


12 


78 


12 


16 


19 


9 



76-78 



40 



41 



35 



DEPARTMENT OF AGRICULTURE (continued) 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Cose Type 



FY 



Cases 
Pending at 
Start of FY 



New Coses 

Referred to 

Office of ALJs 



Coses Coses 

Terminated Pending at 
by Agency End of FY 



Commodity Exchange Act 



7 use fig, 9 



Disciplinary proceedings resulting in suspension or 
revocation of registration of floor broker or of futures 
commission merchant, and denial of trading privileges, for 
violations of the Act, including manipulation of prices and 
cornering of the market. (These cases have been transferred 
to the Commodity Futures Trading Commission effective 
October 1975. See 7 USC 4(a), 18,21 (1978 Supplement)). 



(75) 




10 


14 




76 


14 





14 





77 





— 





— 


78 


- 


— 


— 


— 



76-78 



14 



7USC608c(3), 17 



Agricultural Marketing Agreement Act 
Marketing Orders (Rulemaking) 



Rulemaking proceedings for the promulgation of regulations 
governing the handling of milk, fruits, vegetables, and other 
commodities in regional marketing areas. Marketing orders 
regulate handling in such forms as classification and minimum 
pricing of milk, grade and size restrictions, and volume 
control. 



(75) 




20 


15 




76 


5 


25 


23 


7 


77 


7 


18 


18 


7 


78 


7 


21 


17 


II 



76-78 



64 



58 



Agricultural Marketing Agreement Act 
Petitions for Relief from Marketing Orders 

7USC608c(l5)(A) 
7 CFR 900.50-900.71 

Adjudications whereby a handler regulated by a marketing 
order may contest the validity of such order or any obligation 
imposed upon the handler by such order as "not in accordance 
with law". 



(75) 




7 


5 




76 


8 


20 


2 


26 


77 


26 


7 


6 


27 


78 


27 


9 


14 


22 



76-78 



36 



22 



7 USC 85, 86, 87e 
7CFR 1. 130-1. 151, 



U.S. Grain Standards Act 
Licensing 



7 CFR 26.2001 et seq. 



Proceedings to challenge revocation, suspension or refusal 
to renew a license to perform inspections, or to challenge 
refusal of official inspection service. (Not subject to 
Administrative Procedure Act unless respondent so requests.) 



(75) 




1 


1 




76 





6 


3 


3 


77 


3 


1 


4 





78 















76-78 



36 



DEPARTMENT OF AGRICULTURE (continued) 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Case Type 



Cases 
Pending at 
FY Start of FY 



New Cases 

Referred to 

Office of ALJs 



Coses Cases 

Terminated Pending at 
by Agency End of FY 



Veterinarian Accreditation 

21 use lll,et seq. 

7CFR I.130-I.I5I,9CFR ISO et seq. 

Proceedings by veterinarian to challenge suspension of 
accreditation. 



7 use lk(,, 253 

7CFR I.I30-I.I5I,7CFR 101 



U.S. Warehouse Act 
Licensing 



.89 



Proceedings to challenge suspension of warehouseman's 
license. 



(75) 












76 














77 














78 





7 


3 


4 



76-78 



(75) 












76 





1 


1 





77 














78 















76-78 



Inspection and Grading Service ° 

7 use 1622, 1624 

7CFR l.l30-l.l51,7eFR50 

Proceedings to determine whether applicants for inspection 
and grading service, or persons having such service, have 
violated the conditions for such service, and whether such 
service should therefore be denied or withdrawn. 



(75) 




2 


1 




76 


2 


7 


6 


3 


77 


3 


30 k 


24 


9 


78 


9 


_ b 


6 


__ c 



76-78 



36 



Federal Meat Inspection Act " 



21 use 601 et seq. 

7eFR I.I30-I.I5I,9CFR335 

Proceedings to determine whether applicants for 
inspection service, or persons having such service, 
violated the conditions for such service, and whether 
service should therefore be denied or withdrawn. 



meat 
have 
such 



(75) 




2 


1 




76 


1 


6 


2 


5 


77 


5 


7. 


7 


5 


78 


5 


_ b 


6 


_ c 



7&-78 



15 



"During FY 1978 these two case types (inspection and grading service coses under the Agricultural Marketing Agreement Act 
and proceedings under the Federal Meat Inspection Act) were combined along with some similar coses to form a new case type, 
"Food Safety and Quality Service". Separate data for new cases referred and for cases pending for 1978 ore unavailable. 



The total number of new cases for both case types equals 1 3. 
*^ The total number of pending cases for both case types equals 14. 



37 



DEPARTMENT OF AGRICULTURE (continued) 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Cose Type 



Cases New Coses Coses Cases 

Pending at Referred to Terminated Pending at 
FY Start of FY Off ice of ALJs by Agency End of FY 



Civil Rights Enforcement 

42USC2000d-l 
7 CFR 1 5 

Actions against recipients of financial assistance from the 
Department to terminate such assistance because of violations 
of civil rights laws. 



(75) 












7fi 





4 


3 


1 


77 


1 


1 


1 


1 


78 





1 


1 






7fr-78 



NOTES; 

Four nnlscellaneous cases were also closed In FY 1976— FY 1978, but complete caseload data was not submitted to ACUS 
for these cases. 

Other adjudicatory proceedings administered by USDA for which no cases were reported: 

1) Egg Products Inspection Act, Section 18 (21 USC 1047) 

2) Federal Seed Act, Section 409 (7 USC 1 599) 

3) Poultry Products Inspection Act, Sections 6, 7, 8(d), 18 (21 USC 455, 456, 457(d),467) 

4) Virus-Serum Toxin Act (21 USC 156) 

5) Federal Land Policy and Management Act of 1976, Section 506 (43 USC 2149) 

6) United States Cotton Standards Act, as supplemented, Section 3 of the Act and Section 2 of 47 Stat. 1621 (7 
USC 51b, 53) 



38 



Agency: DEPARTMENT OF AGRICULTURE 

Case type: Packers and Stockyards Act 
Disciplinary Proceedings 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 155 143 123 421 



MANNER OF TERMINATION (number of cases) 



Not on Merits — 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 



ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76 



104 

2 

2 



10 



37 



77 


88 
10 

1 



78 

1 

73 

6 

1 



15 22 



29 20 



76-78 

1 

265° 

18 

4 



47 
0, 



AGENCY REVIEW (number of cases) 

Review- 76 77 78 76-78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



7 
148 



9 
134 



7 6 

1 

1 

I 



II 

112 



27 

394 



23 
2 
1 
1 



Notes — 

° Consents (see procedures). 
Defaults (see procedures). 



ELAPSFD TIME DATA 


























se 

Formal complaint / 


Case 
Breakdowi 


n FY 
76 


Elapsed Time (days) 
Avg Min Max 

141.3 18 4722 


Distribution of Cases by Elapsed Time (cases) 


N 


Stage of Cos 


0-lmo 


l-4mo 


4-l2mo 


l-2yr 

2 


2yr+ 

1 


(cases) 


Prehearing 


All 


4 


102 


45 


154 




Arrival of case in 


Cases 


77 


167.1 





1146 


14 


70 


42 


12 


5 


143 




CALJ's office 




78 


154.3 





1227 


12 


65 


36 


6 


4 


123 








76-78 


153.9 





4722 


30 


237 


123 


20 


10 


420 


Hearing 


Arrival of case in 


With ALJ 


76 


337.2 


119 


636 





1 


5 


4 





10 




CALJ's office / 


Hearing on 77 


461.9 


56 


954 





2 


6 


3 


4 


15 




Release of ALJ's 


Merits 


78 


467.4 


1 


1208 


1 


1 


9 


7 


4 


22 




decision or order 




76-78 


438.0 


1 


1208 


1 


4 


20 


14 


8 


47 






All 


76 


41.1 





566 


109 


17 


18 


1 





145 






Other 


77 


58.6 





1020 


100 


11 


11 


5 


1 


128 






Cases 


78 


72.1 





1377 


59 


27 


10 


4 


1 


101 








76-78 


55.5 





1377 


268 


55 


39 


10 


2 


374 


Posthecring 


Release of ALJ's 


With 


76 


179.1 


63 


636 





4 


2 


1 





7 




decision or order / 


Agency 


77 


132.1 


62 


375 





6 


2 


1 





9 




Final agency 


Review 


78 


261.2 


64 


533 





5 


2 


4 





II 




action 




76-78 


196.9 


62 


636 





15 


6 


6 





27 






All 


76 


13.3 





250 


113 


31 


4 








148 






Other 


77 


13.9 





329 


100 


32 


2 








134 






Cases 


78 


16.0 





150 


82 


29 


1 








112 








76-78 


14.3 





329 


295 


92 


■ 7 








394 


Total Time 


Formal complaint / 


With 


76 


690.0 


225 


1101 








2 





4 


6 




Final agency 


Agency 


77 


620.2 


196 


1045 








2 


3 


4 


9 




action 


Review 


78 


849.9 


360 


1253 








1 


1 


9 


11 








76-78 


733.5 


196 


1253 








5 


4 


17 


26 






All 


76 


199.9 


18 


4722 


1 


57 


80 


9 


1 


148 






Other 


77 


267.1 





1408 


9 


38 


59 


16 


12 


134 






Cases 


78 


284.5 


1 


1436 


4 


29 


55 


14 


10 


112 








76-78 


246.8 





4722 


14 


124 


194 


39 


23 


394 



39 



TIME AND EFFORT AT THE HEARI^SG STAGE 



Cases with full or partial hearing— 

FY: 76 77 78 76-78 

Number: 13 17 27 57 



Time/Effort (days, pages, etc.) Distribution of Cases by Time/Effort Item 



N 





Item 


FY 

76 

77 

78 

76-78 


Avg 

1.4 
5.0 
2.8 
3.2 


Min 


1 

1 



Max 


0-2 

II 

7 
17 
35 


3-9 

1 

8 

7 

16 


10-59 


60-199 







200+<kiys, etc. 







(cases) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
ond hearings 
separate 
days per case 


4 
35 
19 
35 



1 
1 
2 


12 
16 
25 
53 




ALJ prehearing 

and hearings 
hours per case 


76 

77 

78 

76-78 


9.0 
48.1 
21.5 
26.7 



8 

1 



26 
210 
152 
210 


3 

2 
5 


5 
3 
10 
18 


4 
II 
12 
27 




1 

1 

2 




1 


1 


12 
16 
25 
53 




ALJ Travel: 

hours per cose 


76 

77 

78 

76-78 


43.3 
32.2 
49.6 
43.5 



8 
8 



96 
78 
80 
96 


1 




1 



3 
1 
4 


8 

4 

8 

20 


4 
2 
8 
14 








13 

9 

17 

39 


Parties 


Petitioners, respon- 
dents, intervenors 
(including ogencyh 
number per case 


76 

77 

78 

76-78 


2.0 
2.3 
2.6 
2.2 



2 
1 



6 
4 

7 
7 


119 
40 
30 

189 


20 
II 
18 
49 




















139 
51 
48 

238 


PaF»srwork 


EvidenlHary dooui- 
ments (excluding 
briefs): 

number per cose 


76 

77 

78 

76-78 


27.9 
97.7 
34.4 
51.2 



2 




82 
36! 
118 
361 


3 
1 

1 
5 








5 
4 
8 
17 


2 
3 
2 
7 




1 



1 


10 

9 

II 

30 




Transcripts: 
pages per cose 


76 

77 

78 

76-78 


240.7 
658.8 
397.6 
428.4 




129 

6 




660 
3358 
2996 
3358 


1 




1 




2 
2 


2 

3 
5 


4 
1 

7 
12 


5 
12 
12 
29 


12 
13 
24 
49 




Briefs: 

pages per cose 


76 

77 

78 

7&-78 


41.2 
81.8 
84.7 
72.3 



26 
21 




75 
199 
228 
228 


1 




1 








7 

4 
7 
18 


2 

9 

6 

17 




2 
2 


10 
13 
15 
38 




Exhibits; 
pages per cose 


76 

77 

78 

76-78 


60.5 

1058.2 

114.4 

373.9 



5 

13 



175 
10889 

536 
10889 


2 


2 




1 


1 


5 

6 

12 

23 


4 
2 
7 
13 



4 
2 
6 


11 
13 
21 
45 




Contested 
motions: 
number per case 


76 

77 

78 

76-78 



9.0 
1.4 
2.6 



2 





16 

5 
16 


1 

1 

8 
10 





1 
1 




1 


1 














I 

2 

9 

12 




Written opinions 
byALJs 
pages per cose 


76 

77 

78 

76-78 


5.6 
10.8 
23.2 

lO.I 


1 
1 
1 

1 


40 
45 
152 
152 


2 
2 

1 
5 


134 
35 
27 

196 


14 
16 
14 
44 




6 

6 








150 
53 
48 

251 



Procedures — 

An Informal complaint may be filed under the Act by any 
interested person. If, after an investigation, the 

Administrator finds an apparent violation he may attempt an 
informal adjustment. If that fails, the Administrator files a 
formal complaint which, for the purpose of the elapsed time 
data, begins the prehearing stage. 

At any time after the issuance of the complaint and prior 
to the hearing, the proceeding may be terminated if the 
respondent consents to an order. Such an order is not 
appealable and there is no elapsed time in the hearing stage. 

The respondent has 20 days after service of the complaint 
in which to file an answer. If he fails to do so, the 



complainant may file a motion for a proposed decision, and 
the respondent has 20 days in which to file objections. The 
ALJ will issue a decision without further procedure not less 
than 30 days after service of complainant's motion and 
proposed decision. 

If there is no default or consent order, a hearing will be 
held. A reasonable time after the close of the hearing, the 
ALJ will issue a decision. The parties have 30 days in which 
to file an appeal. 

These proceedings are administered by the Packers and 
Stockyards Administration. 



40 



Agency: DEPARTMENT OF AGRICULTURE 

Case type: Perishable Agricultural Commodities Act 
Disciplinary Proceedings 



Case-Closed Cards Sul>mitted — 

FY: 76 77 78 76-78 

Number: 32 35 31 98 



MANNER OF TERMINATION (number of cases) 

Not on Merits- 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & IDecision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 















9 


5 


17 


31 


1 


1 





2 











0" 


5 


6 


3 


14 











0. 


7 


23 


II 


51 ^ 



AGENCY REVIEW (number of cases) 



Review — 

Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 77 

I 2 

31 33 



78 76-78 

4 7 

27 91 



I 2 3 

I 







ELAPSED T 
Stoge of Cos 


IME DATA 

Formal complaint / 
Referral to CALJ 


Cose 
Breakdowi 


1 FY 

76 

77 

78 

76-78 


Elapsed Tirtie (days) 
Avg Min Max 

75.5 347 

108.5 214 

103.6 699 
96.0 699 


Distribution of Coses by Elq 
0-lmo l-4mo 'i-l2mo 


psed Tir 
l-2yr 




1 
1 


ne (coses) 
2yr+ 







N 
(cases) 


Prehearing 


All 
Coses 


7 

5 

12 

24 


20 

13 

9 

42 


5 
16 

9 
30 


32 
34 
31 
97 


Hecwing 


Referral to CALJ / 
Release of ALJ's 
decision or order 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


425.8 
281.3 
487.7 
377.1 


146 
124 
314 
124 


636 
771 
632 
771 















2 

5 
1 
8 


3 

2 
5 




1 



1 


5 

6 

3 

14 






All 

Other 

Cases 


76 

77 

78 

76-78 


32.4 
24.7 
24.3 
27.0 








419 
217 
222 
419 


22 
24 
24 
70 


4 
3 

1 
8 



2 
3 
5 


1 



1 








27 
29 
28 
84 


Posthearing 


ALJ's decision or 
order / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


62.0 
115.0 
330.3 
230.4 


62 

103 

45 

45 


62 

127 

1105 

1105 








1 
1 
3 

5 




1 


1 











1 

1 


1 

2 
4 

7 






All 

Other 

Coses 


76 

77 

78 

76-78 


30.7 
41.4 
20.1 
31.5 








75 

95 

100 

100 


13 

7 

17 

37 


18 
26 
10 
54 




















31 
33 
27 
91 


Total Time 


Formal complaint / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


595.0 
618.0 
843.8 
743.7 


595 
337 
243 
243 


595 

899 

1835 

1835 
















1 

1 

2 


1 


2 
3 




1 
1 

2 


1 
2 

4 

7 






All 

Other 

Cases 


76 

77 

78 

76-78 


188.4 
196.1 
142.3 
177.3 


2 
4 




1006 
410, 
778 1 

1006 


5 
1 

II 
17 


6 

3 

3 

12 


17 
27 
12 
56 


1 

1 


2 


2 


1 
3 


31 
32 
27 
90 



Notes— 

" Consents (see procedures). 
Defaults (see procedures). 



41 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing- 















FY: 




76 


77 


78 


76-78 
















Number: 




5 


6 


4 


15 






Item 


FY 

76 

77 

78 

76-78 


Time/Effort (days, p 
Avg Min 

1.6 1 
1.2 1 
1.5 1 
1.4 1 


lages, etc.) 
Max 


Distribut 
0-2 

5 
6 
3 

14 


ion 
3-9 




1 

1 


if Cases 
10-59 


by Time/Effort Item 
60-199 20aKJays, etc. 







N 
(coses) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearings 
separate 
days per cose 


2 
2 
3 
3 








5 
6 

4 
15 




ALJ prehearing 
and hearings 
hours per case 


76 

77 

78 

76-78 


20.2 
9.7 
6.8 

12.4 


2 
3 
2 
2 


48 
24 
15 
48 


1 


1 
2 



5 
2 

7 


4 
1 

1 
6 
















5 
6 
4 
15 




ALJ Travels 
hours per cose 


76 

77 

78 

76-78 


31.8 
42.0 
44.3 
38.6 






24 




72 
72 
60 
72 


1 
1 


2 


1 



1 


2 
2 
2 
6 




1 
2 

1 
4 








5 
5 
3 
13 


Parties 


Petitioners, respon- 
dents, interveners 
(including agency): 
number per case 


76 

77 

78 

76-78 


1.9 
2.1 
2,0 
2.0 


1 

2 
2 
1 


3 
4 
2 

4 


20 
21 
15 
56 


3 
2 


5 






















23 
23 
15 
61 


Poperwork 


Evidentiary docu- 
ments (excluding 
briefs); 
number per case 


76 

77 

78 

7<&-78 


.5 

16.0 

2.0 

7.0 




12 

2 




1 
20 

2 
20 


2 

1 
3 









2 

2 

















2 
2 

1 
5 




Transcripts: 
pages per case 


76 

77 

78 

7I&-78 


303.0 
126.4 
228.3 
202.4 


65 
33 
55 
33 


445 
241 
493 
493 















2 

1 
3 




1 
1 
1 

3 


2 
2 

1 
5 


3 
5 
3 
11 




Briefs: 

pages per cose 


76 
77 
78 

76-78 


43.0 
42.3 
21.6 
33.1 


15 
3 
5 
3 


58 
78 
45 
78 










1 

1 

2 


3 

1 

4 
8 






1 


1 








3 

3 

5 

11 




Exhibits: 

pages p«- cose 


76 

77 

78 

76-78 


12.0 
58.6 
32.0 
38.6 


4 
4 
5 
4 


20 
225 

55 
225 








1 
1 
1 
3 


2 
3 
2 

7 












1 


1 


3 

5 

3 

II 




Contested 
motions: 
raimber per case 


76 

77 

78 

76-78 




■LS 

1.3 




2 






3 
3 


2 



1 

3 





1 

1 






















2 


2 
4 




Written (pinions 
by ALJ: 
pages per cose 


76 
77 
78 

76-78 


6.0 

6.9 
6.4 


2 
3 
3 
2 


26 
39 

39 
39 


2 


2 


23 
25 
12 
60 


6 
5 
2 
13 
















31 
30 
14 
75 



Procedures— 

An informal complaint may be filed under the Act by any 
interested person. If, after an investigation, the 

Administrator finds an apparent violation he may attempt an 
informal adjustment. If that fails, the Administrator files a 
formal complaint which, for the purpose of the elapsed time 
data, begins the prehearing stage. 

At any time after the issuance of the complaint and prior 
to the hearing, the proceeding may be terminated if the 
respondent consents to an order. Such an order is not 
appealable and there is no elapsed time in the hearing stage. 

The respondent has 20 days after service of the complaint 
in which to file an answer. If he fails' to do so, the 



complainant may file a motion for a proposed decision, and 
the respondent has 20 days in which to file objections. The 
ALJ will issue a decision without further procedure not less 
than 30 days after service of complainant's motion and 
proposed decision. 

If there is no default or consent order, a hearing will be 
held. A reasonable time after the close of the hearing, the 
ALJ will issue o decision. The parties hove 30 days in which 
to file on appeal. 

These proceedings are administered by the Agricultural 
Marketing Service. 



42 



Agency: DEPARTMENT OF AGRICULTURE 
Cose type: Laboratory Animal Welfare Act 



Case-Closed Cards Subftiitted— 

FY: 76 77 78 76-78 

Number: 22 18 20 60 



MANNER OF TERMINATION (number of coses) 

Not on Merits— 76 77 78 76-78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 















15 


7 


14 


36 


3 


2 


1 


6 











0° 


3 


5 


1 


9 











0. 


1 


4 


4 


9b 



AGENCY REVIEW (number of cases) 
Review- 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Revwse 
Modify 
Remand/Other 




22 



17 




20 



76-78 



59 



Notes — 

° Consents (see procedures). 
Defaults (see procedures). 



ELAPSFD TIME DATA 
Stage of Case 


Case 
Breakdown FY 


Elapsed 
Avg 


Time 
Min 


(days) 
Max 


Distribution of Coses by Elapsed Time (cases) 
0-lmo l-4mo 4-l2mo l-2yr 2yr+ 


N 
(cases) 


Prehearing 


Formal complaint / 
Referral to CALJ 


All 
Cases 


76 

77 

78 

76-78 


77.5 
184.8 
143.4 
131.7 


11 
26 
43 
II 


215 
735 
712 
735 


4 

1 


5 


14 

7 

16 

37 


4 

9 

2 

15 




2 
2 




1 


1 


22 
18 
20 
60 


Hearing 


Referral to CALJ / 
Release of ALJ's 
decision or order 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


320.0 
560.8 
501.0 
473.9 


227 
205 
501 
205 


403 
870 
501 
870 














2 
2 

4 


1 
1 
1 
3 



2 

2 


3 

5 

1 
9 






All 

Other 

Cases 


76 

77 

78 

76-78 


44.5 
39.6 
68.6 
52.2 








190 
265 
436 
436 


II 

10 
15 
36 


6 
2 

8 


2 
1 

2 
5 




2 
2 








19 
13 
19 
51 


Postheoring 


ALJ's decision or 
order / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


169.0 
169.0 


169 
169 


169 
169 















1 


1 
















1 


1 






All 

Other 

Coses 


76 

77 

78 

76-78 


7.1 
25.4 
11.2 
13.7 








41 
100 

55 
100 


18 

9 

15 

42 


4 

8 

5 

17 




















22 

17 
20 
59 


Total Time 


Formal complaint / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


421.0 
421.0 


421 
421 


421 
421 





















1 



1 









1 


1 






All 

Other 

Coses 


76 

77 

78 

76-78 


166.6 
401.5 
244.8 
260.8 


37 
27 
47 
27 


492 
969 
718 
969 



1 


1 


10 
2 
9 

21 


9 

7 

6 

22 


3 

3 

5 

II 



4 

4 


22 

17 
20 
59 



43 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or partial hearing — 

FY: 76 77 78 76-78 

Number: 5 6 2 13 



Time/Effort (days, pages, etc.) 





Item 


FY 

76 

77 

78 

76-78 


Avg 

1.8 

1.2 

.7 

1.3 


Min 

1 
1 





Max 


0-2 

4 
6 
3 

13 


3-9 

1 




1 


10-59 60-1 


199 







200+day5, etc. 







(cases) 


Prehearing 
& Hearing 

Time 


ALJ prehearing 
and hearing: 
separate 
days per case 


3 
2 

1 
3 








5 

6 

3 

14 




ALJ prehearing 
and hearing: 
hours per case 


76 

77 

78 

76-78 


22.8 
10.0 

2.7 
13.8 


10 
6 




36 

16 

6 

36 




2 
2 



2 

1 
3 


5 
1 


6 














5 
3 
3 

11 




ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 


5^7 
59.0 
16.0 
47.2 


8 

36 




90 
84 
24 
90 




1 
1 


1 




1 



3 
2 
5 


2 
3 


5 








3 

6 

3 

12 


Parties 


Petitioners, respon- 
dents, intervenors 
(including agency): 
number pier case 


76 

77 

78 

76-78 


2.0 
2.4 
2.2 
2.1 


1 

2 
2 
1 


3 
4 
3 
4 


16 

7 

5 

28 


2 
3 

1 
6 




















18 

10 

6 

34 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs): 
number per case 


76 

77 

78 

76-78 


10.8 

9.8 



9.1 


3 
1 





24 

22 



24 



1 
1 
2 


2 
1 


3 


2 
2 


4 














4 
4 

1 
9 




Transcripts: 
pages per case 


76 

77 

78 

76-78 


292.0 

158.4 

45.7 

164.1 


214 
9 




398 
296 

398 





1 

1 



1 


1 





1 

1 



3 

1 
4 


3 

1 


4 


3 
5 
3 
1! 




Briefs: 

pages per case 


76 

77 

78 

76-78 


43.0 

33.0 

7.5 

30.9 


30 

30 






62 
40 
15 
62 





1 
1 








2 

5 

1 
8 


1 




1 








3 

5 

2 

10 




Exhibits: 
pages per cose 


76 

77 

78 

76-78 


30.0 

15.6 

2.5 

17.3 


14 
2 




57 

33 

5 

57 




1 
1 

2 



2 
1 
3 


3 
2 

5 














3 

5 

2 

10 




Contested 
motions: 
number per case 


76 

77 

78 

76-78 

















1 
1 






























1 
1 




Written opinions 
by ALJ: 
pages per cose 


76 

77 

78 

76-78 


5.9 

11.3 

5.7 

7.3 


1 

3 
3 

1 


24 
19 
II 
24 


3 


3 


15 
4 
5 

24 


3 
6 

1 
10 














2! 

10 

6 

37 



Procedures — 

An informal complaint may be filed under the Act by any 
Interested person. If, after an investigation, the 

Administrator finds on apparent violation he may attempt an 
informal adjustment. If that falls, the Administrator files a 
formal complaint which, for the purpose of the elapsed time 
data, begins the prehearing stage. 

At any time after the issuance of the complaint and prior 
to the hearing, the proceeding may be terminated if the 
respondent consents to an order. Such an order is not 
appealable and there is no elapsed time in the hearing stage. 

The respondent has 20 days after service of the complaint 
in which to file an answer. If he fails to do so, the 



complainant may file a motion for a proposed decision, and 
the respondent has 20 days in which to file objections. The 
ALJ will issue a decision without further procedure not less 
than 30 days after service of complainant's motion and 
proposed decision. 

If there is no default or consent order, a hearing will be 
held. A reasonable time after the close of the hearing, the 
ALJ will issue a decision. The parties have 30 days in which 
to file an appeal. 

These proceedings are administered by the Agricultural 
Research Service. 



44 



Agency: DEPARTMENT OF AGRICULTURE 
Case type: Horse Protection Act 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 15 9 18 42 



MANNER OF TERMINATION (number of coses) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ {Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



AGENCY REVIEW (number of cases) 















6 


3 


6 


15 








3 


3 














6 


3 


6 


15 














3 


3 


3 


9 



Review- 
Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 

2 
13 



77 


9 



78 

3 

15 



76-78 

5 
37 



ELAPSED Tl 
Stage of Cos 


IME DATA 

Formal complaint / 
Referral to CALJ 


Case 
Breakdowi 


n FY 

76 

77 

78 

76-78 


Elapsed Time (days) 
Avg Min Max 

152.8 40 628 
166.7 34 759 
308.2 35 1057 
222.4 34 1057 


Distribution of Co; 
0-lmo l-4mo 


ses by Elo] 
4-l2mo 


psed Time (cases) 
l-2yr 2yr+ 

1 
1 

4 

1 5 


N 
(coses) 


Prehearing 


All 
Coses 








9 

5 

8 

22 


5 

3 

6 

14 


15 

9 

18 

42 


Hearing 


Referral to CALJ / 
Release of ALJ's 
decision or order 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


355.3 
361.0 
607.2 
457.2 


141 

186 
170 
141 


618 
532 
723 
723 














3 
2 
1 
6 


3 
1 

5 
9 








6 

3 

6 

15 






All 

OthCT 

Cases 


76 

77 

78 

76-78 


55.7 
212.0 

49.8 
87.8 


1 

1 





295 
794 
228 

794 


6 

3 

7 

16 


2 

3 

5 


1 
2 

2 

5 











1 


1 


9 

6 

12 

27 


Post hearing 


ALJ's decision or 
order /Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


90.0 

158.7 
131.2 


90 

138 
90 


90 

172 
172 








2 


2 




3 
3 














2 


3 
5 






All 

Other 

Coses 


76 

T7 

78 

76-78 


31.2 
24.1 
14.8 
22.8 








110 
68 

42 
110 


6 

4 

9 

19 


7 

5 

6 

18 





















13 

9 

15 

37 


Total Time 


Formal complaint / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


487.5 

884.0 
725.4 


362 

875 
362 


613 

899 
899 














1 




1 


1 




1 




3 
3 


2 

3 

5 






All 

Other 

Cases 


76 

77 

78 

76-78 


348.8 
452.4 
522.3 
444.4 


52 
125 
154 

52 


850 

917 j 
1158 
1158 








2 



~ 

2 


6 

5 
8 
19 


4 
2 

1 
7 


1 

2 
6 
9 


13 

9 

15 

37 



45 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing- 















FY: 


76 


77 78 


76-78 
















Numbers 


6 


5 6 


17 










Time/Effort (days, pages, etc.) 


Distribution of Coses by Time/Effort Item 


N 




Item 


FY 

76 

77 

78 

76-78 


Avg 

1.7 
2,0 
1,5 
1,7 


Min 

1 
1 

1 
1 


Max 


0-2 

5 

4 

6 

15 


3-9 10-59 


60-199 20 


04<k]ys, etc. 







(cases) 


Prehearing 

& Hearing 
Time 


ALJ prehearing 
and hearings 
sep>arate 

days per cose 


3 
3 
2 
3 


1 

1 


2 








6 

5 

6 

17 




ALJ prehearing 
and hearing: 
hours per cose 


76 

77 

78 

76-78 


9,2 
17,6 

9,2 
11,6 


1 

8 
6 
1 


20 
24 
II 
24 


1 



1 


3 2 
1 4 
3 3 
7 9 














6 

5 

6 

17 




ALJ Travels 
hours per case 


76 

77 

78 

76-78 


48.3 

64.0 

■ 57.5 

56.2 


8 

8 

33 

8 


72 
84 
79 
84 








1 2 

1 
3 

2 5 


3 

4 

3 

10 








6 

5 

6 

17 


Parties 


Petitioners, respon- 
dents, interveners 
(including agency)s 
numlser per cose 


76 

77 

78 

76-78 


1.8 
2.3 
2.3 
2.1 


1 

2 
2 

1 


3 
3 

3 
3 


II 
5 
7 

23 


1 

2 

3 
6 














12 

7 

10 

29 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs)s 
number per cose 


76 

77 

78 

76-78 


4.0 
3.5 

3.8 



2 




7 
5 

7 


1 
1 


2 


2 
1 


3 















3 
2 

5 




Transcripts: 

poges per case 


76 
77 
78 

76-78 


204.3 
215,5 
267,7 
233.1 


25 
187 
142 

25 


372 
244 
379 
379 









1 



1 


1 
1 

2 

4 


4 

1 

4 
9 


6 
2 
6 
14 




Briefs: 

pages per cose 


76 
77 

78 
76-78 


38.2 
54.0 
54.2 
46.8 


7 
54 
35 

7 


63 
54 
89 
89 








1 3 
1 

4 

1 8 


2 

2 

4 








6 
1 

6 
13 




Exhibits: 
poges per cose 


76 
77 

78 
76-78 


10.5 

15.5 
5.0 
9.2 


1 

14 

2 

1 


28 
17 
12 
28 


1 


3 
4 


3 2 

2 

1 1 

4 5 














6 
2 
5 
13 




Ctmtested 
motions: 
number per cose 


76 

77 

78 

76-78 


1.0 
2.0 

1.3 



2 




2 
2 

2 


2 
1 


3 




















2 
1 


3 




Written opinions 
byALJs 
pages per case 


76 

77 

78 

76-78 


5.8 

6.3 

11.5 

7.6 


3 
3 
1 
1 


12 
13 
27 
27 





1 
1 


12 3 
6 2 
4 5 

22 10 














15 

8 

10 

33 



Procedures — 

An informal complaint may be filed under the Act by any 
interested person. If, after an investigation, the 

Administrator finds an apparent violation he may attempt on 
informal adjustment. If that fails, the Administrator files a 
formal complaint whichj for the purpxjse of the elapsed time 
data, begins the prehearing stage. 

At any time after the issuance of the complaint and prior 
to the hearing, the proceeding may be terminated if the 
respondent consents to an order. Such an order is not 
appealable and there is no elapsed time in the hearing stage. 

The respondent has 20 days after service of the complaint 
in which to file an answer. If he fails to do so, the 



complainant may file a motion for a proposed decision, and 
the respondent has 20 days in which to file objections. The 
ALJ will issue a decision without further procedure not less 
than 30 days after service of complainant's motion and 
proposed decision. 

If there is no default or consent order, a hearing will be 
held. A reasonable time after the close of the hearing, the 
ALJ will issue a decision. The parties have 30 days in which 
to file an appeal. 

These proceedings are administered by the Animal and 
Plant Health Inspection Service. 



46 



Agency: DEPARTMENT OF AGRICULTURE 

Cose type: Agricultural Marketing Agreement Act 
Marketing Orders (Rulemaking) 



Case-Closed Cords Submitted— 

FY: 76 77 78 76-78 

Number: 7 22 33 62 



MANNER OF TERMINATION (number of cases) 
Not on Merits- 
Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



'6 


77 


78 


76-78 

















1 


1 


2 


1 


3 





4 








1 


1 


1 


3 


2 


6« 


5 


14 


28 


47 





1 


1 


2 



AGENCY REVIEW (number of coses) 



Review — 

Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 

I 
6 



77 


22 



78 

2 



76-78 

3 
59 



ELAPSED TIME DATA 



Notes — 

° These reported cases with initial decisions 
inexplicable in view of the procedures noted on page 47. 





Proposal of order / 
Referral to ALJ 


Case 
Breakdowi 


n FY 

76 

77 

78 

76-78 


Elapsed 


Time 


Idoys) 


Distribution of Ca 


ses by Elq 


psed Tir 


ne (coses) 


N 


Stage of Cos 


Avg 

18.1 
31.1 
26.9 
27.4 


Min 







Max 

33 
212 

68 
212 


0-lmo 


l-4mo 


4-l2mo 


l-2yr 







2yr+ 







(coses) 


Prehearing 


All 
Coses 


5 
13 
18 
36 


2 

8 

15 

25 




1 


1 


7 
22 
33 
62 


Hearing 


Referral to ALJ / 
ALJ's certification 
of transcript 


With ALJ 76 

hHearing on 77 

Merits 78 

76-78 


161.0 
209.6 
310.7 
261.4 


24 
48 
47 
24 


265 

383 

1006 

1006 


1 




1 


1 

4 
10 
15 


4 
10 

8 
22 




3 

II 

14 





1 
1 


6 
17 
30 
53 






All 

Other 

Coses 


76 

77 

78 

76-78 


28.0 
214.8 
245.7 
204.3 


28 





28 
641 
499 
641 


1 
1 
1 
3 



1 


1 



2 

1 
3 




1 
1 
2 








1 

5 
3 
9 


Post hearing 


Certification of 
transcript / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


46.0 

59.5 
55.0 


46 

55 

46 


46 

64 

64 








1 


2 
3 




















1 


2 
3 






All 

Other 

Coses 


76 

77 

78 

76-78 


21.2 

57.2 

200.0 

130.4 








36 
400 
855 
855 


3 
II 

5 
19 


2 

7 
14 
23 



3 
6 
9 




1 

3 
4 




3 
3 


5 
22 
31 
58 


Total Time 


Proposal of order / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


344.0 

206.5 
252.3 


344 

131 
131 


344 

282 

344 














1 


2 
3 














1 


2 
3 






All 

Other 

Coses 


76 

77 

78 

76-78 


164.0 
299.1 
543.6 
418.2 


28 
35 
56 
28 


317 

853 

1116 

1116 


1 



1 


1 

5 

4 

10 


3 
8 

7 
18 



8 
II 

19 




1 

9 
10 


5 
22 
31 
58 



47 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with foil or partial hearing— 

FYs 76 77 78 76-78 

Number: 6 18 31 55 

Time/Effort (doys, pages, etc.) Distribution of Cases by Time/Effort Item 



Procedures — 

These proceedings ore administered by the Agricultural 
Marketing Service. A marketing order or agreement may be 
proposed by the Secretary or any other person. The 
proceeding is formally instituted by filing a notice of hearing 
with the clerk and publishing it in the Federal Register. Such 
notice must ordinarily precede the hearing date by at least 15 



N 





l1^em 


FY 
76 


Avg 

1.6 


Min 

1 


Max 


0-2 

4 


3-9 

1 


10-59 


60-199 




200tdays, etc, 




(cases) 


Prehearing 


ALJ prehearing 


4 





5 


& Hearing 


and hearing: 


77 


2.8 


1 


10 


12 


4 


1 








17 


Time 


separate 


78 


2.4 


1 


8 


22 


9 











31 




days per cose 


76-78 


2.4 


1 


10 


38 


14 


1 








53 




ALJ prehearing 


76 


10.4 


2 


26 


1 


2 


2 








5 




end hearing; 


77 


23.1 


5 


78 





5 


10 


2 





17 




hours per case 


78 


21.3 


2 


84 


1 


10 


19 


1 





31 






76-78 


20.9 


2 


84 


2 


17 


31 


3 





53 




ALJ Travel: 


76 


43.0 


8 


76 





1 


3 


1 





5 




hours per cose 


77 


47.7 


7 


92 





2 


7 


6 





15 






78 


55.4 


8 


96 





4 


8 


14 





26 






76-78 


51.5 


7 


3(> 





7 


18 


21 





46 


Parties 


Petitioners, respon- 


76 


1.7 


1 


2 


3 














3 




dents, intervenors 


77 


4.1 


1 


34 


13 


1 


I 








15 




CincliKling agency): 


78 


3.0 


1 


18 


23 


1 


2 








26 




number per case 


76-78 


3.3 


1 


34 


39 


2 


3 








44 


Paperwork 


Evidentiary docu- 


76 


12.0 


8 


16 





1 


1 








2 




ments (excluding 


77 


12.1 





23 


1 


3 


5 








9 




briefs): 


78 


13.2 





33 


2 


4 


7 








13 




number peir cose 


76-78 


12.7 





33 


3 


8 


13 








24 




Transcripts: 


76 


169.8 


54 


323 








1 


3 


1 


5 




pages per cose 


77 


436.4 


94 


1560 











5 


10 


15 






78 


449.0 


41 


1428 








2 


8 


16 


26 






76-78 


414.5 


41 


1560 








3 


16 


27 


46 




Briefs: 


76 


24.5 


14 


35 








2 








2 




pages per cose 


77 











1 














1 






78 


23.7 





44 


1 





2 








3 






76-78 


20.0 





44 


2 





4 








6 




Exhibits: 


76 


24.8 


7 


70 





2 


1 


1 





4 




pages per case 


77 


110.3 


6 


1050 





3 


7 


1 


1 


12 






78 


27.7 


4 


120 





8 


13 


2 





23 






76-78 


52.8 


4 


1050 





13 


21 


4 


1 


39 




Contested 


76 





_.. 

























motions: 


77 











1 














1 




number f)er case 


78 











1 














1 






76-78 











2 














2 




Written opinions 


76 


14.0 


14 


14 








1 








1 




by ALJ: 


77 


4.3 


1 


II 


3 


6 


1 








10 




pages per case 


78 


6.5 


2 


21 


3 


10 


5 








18 






76-78 


6.0 


1 


21 


6 


16 


7 








29 



days. The ALJ conducts the hearing but has no power to 
make an initial decision; he only certifies the transcript to 
the Administrator who makes the recommended decision. 
This decision is published in the Federal Register and after a 
comment period the Secretary makes the final decision. 



48 



Agency: DEPARTMENT OF AGRICULTURE 

Case type: Agricultural Marketing Agreement Act 

Petitions for Relief from Marketing Orders 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: 5 9 5 19 



MANNER OF TERMINATION (number of coses) 

Not on Merits — 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



'6 


77 


78 


76-78 














1 








1 


1 


2 


I 


4 














3 


6 


4 


13 

















1 





1 



AGENCY REVIEW (number of cases) 



Review — 


76 


77 


78 


Yes: 
No: 


3 
2 


7 
2 


3 
2 


Result- 








Affirm 
Reverse 
Modify 
Remand/Other 


3 





4 

1 
1 
1 


3 






76-78 

13 
6 



10 



ELAPSFD TIME DATA 
Stage of Case 


Cose 
Breokdowi 


n FY 

76 

77 

78 

76-78 


Elapsed 
Avg 

46.4 
36.7 
44.0 
41.2 


Time 
Min 

30 
23 
31 
23 


(days) 
Max 

86 
67 
90 
90 


Distribution of Coses by Eloj 
0-lmo l-4mo 4-l2mo 


psed Tir 
l-2yr 








ne (cases) 
2yr+ 








N 
(coses) 


Prehearing Date of Petition / 
Referral to CALJ 


All 
Cases 


1 

4 


5 


4 

5 

5 

14 








5 

9 

5 

19 


Hearing Referral to CALJ / 
ALJ's decision or 
order 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


754.0 
539.2 
219.5 
490.4 


181 
320 
163 
163 


1711 
712 
313 

1711 














1 

1 

4 
6 


I 

5 

6 


1 




1 


3 
6 

4 
13 




All 

Other 

Coses 


76 

77 

78 

76-78 


99.5 
382.0 
245.0 
265.0 


6 
247 
245 

6 


193 
545 
245 
545 


I 




1 








1 

2 
1 
4 



1 


1 








2 
3 

1 
6 


Posthearing ALJ's decision or 
order / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


213.0 

153.7 

60.0 

145.8 


85 
76 
57 
57 


295 

307 

64 

307 








1 

4 
3 
8 


2 
3 


5 














3 

7 

3 

13 


- 


All 

Other 

Cases 


76 

77 

78 

76-78 






42.5 

14.2 






39 








46 

46 


2 
2 

4 




2 
2 




















2 
2 
2 

6 


Total Time Petition / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


1024.0 
704.7 
350.0 
696.5 


505 
445 
277 
277 


2056 
934 
408 

2056 

















2 
2 


2 

4 
1 

7 


1 

3 

4 


3 

7 

3 

13 




All 

Other 

Cases 


76 

77 

78 

76-78 


130.0 
427.0 
279.0 
278.7 


37 
280 
236 

37 


223 
574 
322 
574 








1 




1 


1 
I 

2 
4 



1 


1 








2 
2 
2 
6 



49 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



FY 



Time/Effort (days, pages, etc.) 



Avg 



Min 



Max 



Cases with full or partial hearing — 

FYs 76 77 78 76-78 

Number: 3 8 4 15 

Distribution of Cases by Time/Effort Item 
0-2 3-9 10-59 60-199 200+<lays, etc. 



N 
(cases) 



Prehearing ALJ prehearing 
& Hearing and hearingi 
Time se[Xirate 

days per case 

ALJ prehearing 
and hearing, 
hours per cose 



ALJ Travel: 
hours per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Parties Petitioners, respon- 76 

detits. Interveners 77 

(incluiding agency); 78 

number per case 76-78 

Paperwork Evidentiary docu- 76 

ments (excluding 77 

briefs): 78 

number per case 76-78 



Transcripts: 
pages per case 



Briefs: 

pages per cose 



Exhibits: 
pages per case 



Ccfitested 
motions: 
number per case 



Written opinions 
by ALJ: 
pages prar cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



1.0 
2.0 
1.5 
1.6 

6.8 
15.0 
18.0 
13.8 

21.3 

53.7 
42.3 
43.5 

2.2 

11.2 
2.8 
6.8 

5.0 

12.7 

7.5 

9.7 

140.0 
222.4 
159.8 
191.3 

59.0 

135.6 

35.0 

94.7 

12.3 
502.3 

16.7 
277.2 



5 
3 
3 
3 

16 

24 

8 

8 

2 
2 
2 
2 

5 
10 

6 
5 

115 
69 
68 
68 

25 
57 



11 
12 
16 



64 
48 
64 

24 
72 
83 
83 

3 
52 

4 
52 

5 
17 

9 
17 

167 
716 
337 

716 

107 

350 

55 

350 

14 
3364 

17 
3364 



34.3 


19 


48 


25.6 


1 


54 


16.0 


14 


20 


24.8 


1 


54 



4 
7 
4 
15 











4 
3 
2 
9 



























2 

2 




2 

2 

4 
6 
2 

12 



1 
1 




2 
3 


































2 
2 

4 

3 
4 
2 
9 


2 

2 


3 

3 






2 

2 
3 
7 

3 

6 

3 

12 






3 
7 
4 
14 














3 

7 

3 

13 






























2 

I 

3 


1 


1 


I 
















4 

9 

4 

17 

4 
9 
4 
17 

3 
7 
4 
14 

5 
9 
4 
18 



3 
2 
6 

3 

9 

4 

16 

3 

7 

3 

13 

3 
7 
3 
13 






3 
9 
4 
16 



Procedures — 

These proceedings are administered by the Agricultural 
Marketing Service and are begun by filing a petition for relief 
with the hearing clerk. The Administrator, as respondent, 
shall file a motion to dismiss or an answer within 30 days. If 
the motion to dismiss is denied, the Administrator has 15 days 
to answer. The ALJ rules on any such motion, holds 
necessary hearings and makes an initial decision. Appeal is to 
the Secretary. 



50 



Agency: DEPARTMENT OF AGRICULTURE 

Case type: U.S. Grain Standards Act 
Licensing 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: 3 4 7 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



AGENCY REVIEW (number of cases) 















1 


2 





3 


1 


2 





3 






































1 








1 



Review- 


76 


77 


78 


76-78 


Yes: 
No: 



3 




4 







7 


Result- 










Affirm 
Reverse 
Modify 
Remand/Other 



























ELAPSED TIME DATA 
Stage of Case 

Prehecring 
Hearing 



Posthetjring 



Total Time 



Cose 


n FY 


Elapsed 


Time 


[days) 


Distributic 


)nof Ca 


ses by Elo] 


psedTir 


ne (cases 


> N 


Breakdow 


Avg 


Min 


Max 


0-lmo 


l-4mo 


4-l2rno 


l-2yr 


2yr+ 


(coses) 


All 


76 


35.7 


2! 


63 


2 


1 











3 


Cases 


77 


135.0 


1 


446 


2 


1 





1 





4 




78 


— 


_ 


— 






















7&-78 


92.4 


1 


446 


4 


2 





1 





7 


With ALJ 


76 








■ _ 




















Heoring on 77 


— 


_ 























Merits 


78 


— 


— 


— 






















76-78 


- 


- 


~ 




















All 


76 


39.0 





99 


2 


1 











3 


Other 


77 


139.0 


3 


284 


1 


1 


2 








4 


Cases 


78 


— 


— 


_ 






















76-78 


96.1 





284 


3 


2 


2 








7 


With 


76 





























Agency 


77 


~ 


— 


— 




















Review 


78 































76-78 


— 


— 


— 




















All 


76 











3 














3 


Other 


77 











4 














4 


Cases 


78 


_ 


_ 


— 






















76-78 











7 














7 


With 


76 





























Agency 


77 


— 


~ 


— 




















Review 


78 


— 


— 


_ 






















76-78 


~ 


~ 


— 




















All 


76 


74.7 


21 


162 


1 


1 


1 








3 


Other 


77 


274.0 


49 


449 





1 


2 


1 





4 


Cases 


78 































76-78 


188.6 


2! 


449 


1 


2 


3 


1 





7 



51 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



FY 



Preheoring 
& Hearing 
Time 


ALJ prehearing 
and hearing: 
separate 
days per cose 


76 

77 

78 

76-78 




ALJ prehearing 
and hearing: 
hours per case 


76 

77 

78 

76-78 




ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 



Parties 



Paperwork 



Petitioners, respon- 76 
dents, interveners 77 

(including agency): 78 

number per cose 76-78 



Evidentiary docu- 
ments (excluding 
briefs): 
number f)er case 

Transcripts: 
pages p>er case 



Briefs: 

pages per case 



Exhibits: 
pages per case 



Contested 
motions: 
number per case 

Written opinions 
by ALJ: 
poges per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Cases with full or partial hearing— 

FY: 76 77 78 76-78 

Number: 



Time/Effort (days, pages, etc.) 



Avg 



Min 



Max 



2.0 
2.0 

2.0 



3.7 



3.7 



Distribution of Coses by 1 


rime 


/Effort Item 


N 


0-2 


3-9 


10-59 60-1 


199 


200+days, etc. 


(cases) 


























































































































































































































3 














3 


1 














1 




















4 














4 










































































































































































































































































































































































2 


1 











3 






































2 


1 











3 



Procedures — 

Proceedings under the U.S. Grain Standards Act ore not 
subject to the Administrative Procedure !Act unless the 
respondent so requests. Upon such request, a hearing will be 
conducted by an ALJ. The respondent has 20 days in which to 
answer the formal complaint of the Administrator. An appeal 
from the initial decision of the ALJ may be filed within 30 
days. 

These proceedings are administered by the Agricultural 
Marketing Service. 



52 



Agency: DEPARTMENT OF AGRICULTURE 
Case type: Veterinarian Accreditation 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: 1 1 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 

















































































1 


1 



AGENCY REVIEW (number of cases) 

Review- 76 77 78 76-78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 











ELAPSED TIME DATA 





Case 
Breakdowi 


n FY 
76 


Elapsed 


Time ( 


[days) 


Distribution of Co: 


ses by Elq 


psed Ti 


me (cases. 


> N 


Stage of Case 


Avg 


Min 


Max 


0-lmo 


l-Amo 


4-l2mo 


l-2yr 




2yr+ 




(coses) 


Prehearing Complaint / 


All 














Referral to CALJ 


Coses 


77 

































78 


166.0 


166 


166 








1 








1 






76-78 


166.0 


166 


166 








1 








1 


Hearing Referral to CALJ / 


With ALJ 


76 


_ 


























ALJ's decision 


Hearing on 77 


— 




























Merits 


78 


— 


__ 


_ 
























76-78 


— 


- 


- 






















All 


76 





„ 


_ 






















Other 


77 































Cases 


78 


10.0 


10 


10 


1 














1 






76-78 


10.0 


10 


10 


1 














1 


Postheoring ALJ's decision / 


With 


76 





.„ 























Final agency 


Agency 


77 


— 


— 


— 




















action 


Review 


78 


_ 


_ 


_ 
























76-78 


- 


— 


- 






















All 


76 


„ 




_ 






















Other 


77 































Cases 


78 


39.0 


39 


39 





1 











1 






76-78 


39.0 


39 


39 





1 











1 


Total Time Complaint / Final 


With 


76 


... 





,„ 




















agency action 


Agency 


77 


— 


— 


— 






















Review 


78 


_ 


_ 


— 
























76-78 


- 


- 


— 






















All 


76 































Other 


77 































Cases 


78 


215.0 


215 


215 








1 








1 






76-78 


215.0 


215 


215 








1 








1 



53 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



Prehearing ALJ prehearing 
& Hearing and hearing: 
Time separate 

days per case 



Parties 



Paperwork 



ALJ prehearing 
and Iveoring: 
hours per cose 



ALJ Travel; 
hours per cose 



FY 



76 

77 

78 

76-78 

7& 

77 

78 

76-78 

76 

77 

78 

76-78 



Petitloneirs, respon- 76 

dents, interveners 77 

(including agency): 78 

number per cose 76-78 

Evidentiary docu- 76 

ments (excluding 77 

briefs); 78 

number per cose 76-78 



Transcripts: 
pages per case 



Briefs; 

poges per cose 



Exhibits; 
pages per cose 



Contested 
motions; 
number per case 



Written opinions 
by ALJ: 
pages per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 
77 
78 

76-78 

76 

77 

78 

76-78 



Cases with full or partial hearing — 

FY: 76 77 78 76-78 

Number: 



Time/Effort (days, poges, etc.) 
Avg Min Max 



2.0 
2.0 



4.0 
4.0 



Distribution of Coses by 


Time 


/Effort Item 


N 


0-2 


3-9 


10-59 60-199 


200+days, etc. 


(cases) 






























































































































































































































































1 














i 


1 














1 


























' 




















'0 

































































































































































































































































































































































1 











1 





1 











1 



Procedures- 
Summary suspension of accreditation pending a hearing is 
available in some situations. Prior to the official prehearing 
stage an informal conference is held which may terminate the 
matter with a warning or by consent of the veterinarian to a 
suspension or revocation. If that fails, the Administrator 
files a formal complaint which, for the purpose of the elapsed 
time data, begins the prehearing stage. 

At any time after the issuance of the complaint and prior 
to the hearing, the proceeding may be terminated if the 
respondent consents to an order. Such an order is not 
appealable and there is no elapsed time in the hearing stage. 

The respondent has 20 days after service of the complaint 
in which to file an answer. If he falls to do so, the 



complainant may file a motion for c proposed decision, and 
the respondent has 20 days in which to file objections. The 
ALJ will issue a decision without further procedure not less 
than 30 days after service of complainant's motion and 
proposed decision. 

If there is no default or consent order, a hearing will be 
held. A reasonable time after the close of the hearing, the 
ALJ will issue a decision. The parties have 30 days in which 
to file an appeal. 

These proceedings are administered by the Animal and 
Plant Health Inspection Service. 



54 



Agency: DEPARTMENT OF AGRICULTURE 

Case type: U.S. Warehouse Act 
Licensing 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 10 2 3 



MANNER OF TERMINATION (number of coses) 



Not on Merits- 
Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 



ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76 



77 





1 








1 








1 







































78 76-78 


2 



AGENCY REVIEW (number of cases) 



Review — 

Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 



I 



77 






78 76-78 



ELAPSED TIME DATA 





Cose 
Breakdowi 


n FY 

76 

77 

78 

76-78 


Elapsed 


Time ( 


[days) 


Distribution of Co; 


ses by Elq 


psed Time (coses) 


N 


Stage of Case 


Avg 

47.0 

112.5 
90.7 


Min 

47 

8 
8 


Max 

47 

217 

217 


0-lmo 


l-4mo 


4-l2mo 


l-2yr 







2yr+ 







(cases) 


Prehearing Complaint / 

Referral to CALJ 


All 
Coses 





1 
1 


1 




1 





1 
1 


1 


2 
3 


Hearing Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


~~ 


- 


- 








■ 


































All 

Other 

Coses 


76 

77 

78 

76-78 




6.0 
4.0 




1 





II 
II 


1 


2 
3 


























1 


2 
3 


Posthearing ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


~~ 


~ 


~~ 








































All 

Other 

Cases 


76 

77 

78 

76-78 




















1 


2 
3 


























1 


2 
3 


Total Time Complaint / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


- 


- 


- 








































All 

Other 

Cases 


76 

77 

78 

76-78 


47.0 

118.5 

94.7 


47 

19 
19 


47 

218 
218 





1 
1 


1 




1 





1 
1 














1 


2 
3 



55 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



FY 



Prehearing 
& Heoring 
Time 


ALJ prclieoring 
and hearing; 
separate 
days per cose 


76 

77 

78 

76-78 






ALJ prehearing 
and hearing: 
hours per cose 


76 

77 

78 

76-78 






ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 



Parties 



Paperwork 



Pe'fitioners, resporri- 76 
dents, intervenors 77 

(incliKling agency): 78 

number per cose 76-78 



Evidentiary docu- 
ments (excluding 
briefs): 
number per case 

Transcripts: 
pcges peT case 



Briefs: 

pages per cose 



Exhibits; 
pages per cose 



Contested 
motions: 
number per case 

Written opinions 
by ALJ; 
pages per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Cases with full or partial hearing— 

FY: 76 77 78 76-78 

Number: 



Time/Effort (days, pages, etc.) 
Avg Min Max 



2.0 
2.0 



1.0 



1.0 



Distnb 


tution o 


f Cases 


by Time 


/Effort Item 


N 


0-2 


3-9 


10-59 


60-199 


20Ot<lays, etc. 


(cases) 


























































































































































































































1 














1 






































1 














1 










































































































































































































































































































































































1 














1 






































1 














1 



Procedures — 

An oral hearing before an official authorized by the 
Secretary is available to the challenged licensee upon timely 
request. The hearing officer's report and any exceptions to 
the report are transmitted to the Secretary for 
determination. 

These proceedings are administered by the Agricultural 
Marketing Service. 



56 



Agency: DEPARTMENT OF AGRICULTURE 
Cose type: Inspection and Grading Service 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 6 23 6 35 



MANNER OF TERMINATION (number of cases) 

Not on Merits — 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



6 


77 


78 


76-78 














4 


22 


1 


27 


1 


1 





2 




















4 


4 














1 





1 


2 



AGENCY REVIEW (number of coses) 



Review- 
Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 


6 



77 


23 



78 76-78 





1 

1 





2 
33 



Fl APSEDT 
Stage of Cos 


ME DATA 

Notice of violation 
/ Referral to CALJ 


Case 
Breakdowi 


1 FY 

76 

77 

78 

76-78 


Elapsed Time (days) 
Avg Min Max 

47.2 106 
485.0 49 797 

69.7 199 
338.7 797 


Distribution of Cases by Ela 
0-lmo l-4mo 4-l2mo 


psed Tir 
l-2yr 


16 


16 


tie (cases) 
2yr+ 


2 

2 


(cases) 


Prehearing 


All 
Cases 


2 

2 
4 


4 
2 

3 
9 



3 
1 

4 


6 
23 

6 
35 


Hearing 


Referral to CALJ / 
Recommended 
findings of ALJ 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


266.5 
266.5 


165 
165 


400 
400 
















3 
3 




1 

1 










4 
4 






All 

Other 

Cases 


76 

77 

78 

76-78 


19.7 

49.4 

1.5 

40.6 








110 

538 

3 

538 


5 
19 

2 
26 


1 




1 



3 

3 




1 



1 








6 

23 

2 

31 


Post hearing 


Recommended 
findings of ALJ / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


144.5 
144.5 


116 
116 


173 
173 











1 
1 





1 
1 
















2 
2 






All 

Other 

Cases 


76 

77 

78 

76-78 


13.2 

.2 

41.5 

7.6 








79 

5 

82 

82 


5 
23 

1 
29 


1 


3 
4 





















6 
23 

4 
33 


Total Time 


Notice of Violation 
/ Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


532.5 
532.5 


493 
493 


572 
572 






















2 
2 










2 
2 






All 

Other 

Cases 


76 

77 

78 

76-78 


80.0 
534.7 
219.3 
413.8 


3 
204 
166 

3 


190 
809 
308 
809 


2 


2 


2 


2 


2 

4 
4 

10 




16 



16 



3 

3 


6 
23 

4 
33 



57 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



Prehearing 
& Hearing 
Time 



Parties 



Paperwork 



ALJ prehearing 
and hearing: 
separate 
days per cose 

ALJ prehearing 
and hearing: 
hours per cose 



ALJ Travels 
hours per case 



FY 



7S 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Petitioners, respon- 76 
dents, interveners 77 

(incliKJing agency): 78 

number per cose 76-78 



Evidentiary docu- 
ments (excluding 
briefs): 
number per cose 



Transcripts: 
pages per case 



Briefs: 

pages pe^ cose 



Exhibits: 
pages per case 



Contested 
motions: 
number per cose 

Written opinions 
by ALJ: 
pages per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Time/Effort (days, pages, etc.) 



Avg 



Min 



Max 



2.2 

2.0 


1 
1 


3 
3 


2.0 
35.0 
28.4 


2 
8 
2 


2 

72 
72 


50.0 
50.0 


8 
8 


84 
84 


2.2 
2.5 
2.2 
2.2 


2 
2 
2 
2 


3 
3 
3 
3 


68.0 

:68.o 


68 
68 


68 
68 


: 9.0 
377.7 
285.5 


9 

251 

9 


9 
536 
536 


53.7 
53.7 


30 
30 


85 
85 


67*0 
67.0 


9 
9 


177 
177 



2.7 

1.5 

17.4 

8.2 



4 
2 

43 
43 



Coses with full or partial hearing— 

FY: 76 77 78 76-78 

Number: 14 5 



Distribution of Cases by 


Time 


/Effort Item 


N 


0-2 


3-9 


10-59 60-199 


200«lays, etc. 


(coses) 






































3 


1 











4 


3 


1 








0. 


4 




















1 














1 





1 


2 


1 





4 


1 


1 


2 


1 





5 









































1 


2 


1 





4 





1 


2 


1 





4 


5 


1 











6 


1 


1 











2 


4 


1 











5 


10 


3 











13 















































1 





i 











1 





1 























1 











1 














3 


3 





1 








3 


4 












































2 


1 





3 








2 


1 





3 









































1 


1 


1 





3 





1 


1 


1 





3 










































































2 


4 











6 


2 











1 


2 





2 


3 








5 


4 


6 


3 





! 


13 



Procedures — 

These proceedings are odministered by the Agricultural 
Marketing Service. The director of the applicable division of 
the Service initiates the proceeding by filing a notice of 
violation, giving the respondent not less than 10 days to 
answer. The proceeding is held before the Administrator of 
the Service or his delegate, unless the respondent requests a 
hearing before an ALJ. The ALJ makes recommended 
findings of fact and conclusions, but no recommended order. 
Exceptions may be filed and the Administrator then makes 
the final decision and order. 



58 



Agency: DEPARTMENT OF AGRICULTURE 
Case type: Federal Meat Inspection Act 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 2 7 6 15 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



AGENCY REVIEW (number of coses) 









1 


1 


2 


7 


2 


II ° 








3 


3 



















































Review — 

Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 


2 



77 


7 



78 76-78 





15 



ELAPSED TIME DATA 


























;e 

Complaint / 


Case 
Breakdow 


n FY 
76 


Elapsed Time (days) 
Avg Min Max 

156.0 98 214 


Distribution 


of Cases by Elapsed Time (cases) 


N 


Stage of Co: 


0-lmo 1 


-4mo 


4-l2mo 


l-2yr 




2yr+ 




(cases! 


Prehearing 


All 





1 


1 


2 




Referral to CALJ 


Cases 


77 


105.7 


4 


491 


4 


1 


1 


1 





7 








78 


226.5 


8 


815 


1 


3 


1 





1 


6 








76-78 


160.7 


4 


815 


5 


5 


3 


1 


1 


15 


Hearing 


Referral to CALJ / 


With ALJ 


76 


„ 


„ 


„ 






















Release of ALJ's 


Hearing on 77 































decision or order 


Merits 


78 



































76-78 


- 


~ 


- 
























All 


76 


170.0 


6 


334 


1 





1 








2 






Other 


77 


367.3 


3 


568 


2 








5 





7 






Cases 


78 


59.0 


3 


212 


4 


1 


1 








6 








76-78 


217.7 


3 


568 


7 


1 


2 


5 





15 


Posthearing 


ALJ's decision or 


With 


76 


„ 


























order / Final 


Agency 


77 


~ 


— 


_ 






















agency action 


Review 


78 



































76-78 


- 


- 


- 
























All 


76 











2 














2 






Other 


77 


\A 





5 


7 














7 






Cases 


78 


6.8 





4! 


5 


1 











6 








76-78 


3.4 





41 


14 


1 











15 


Total Time 


Complaint / Final 


With 


76 































agency action 


Ager>cy 


77 


_ 


— 



























Review 


78 


— 


_ 


— 


























76-78 


- 


~ 


~ 
























All 


76 


326.0 


220 


432 








1 


1 





2 






Other 


77 


474.4 


7 


582 


1 








6 





7 






Coses 


78 


292.3 


20 


818 


1 


1 


3 





1 


6 








76-78 


381.8 


7 


818 


2 


1 


4 


7 


1 


15 



Notes— 

° Consents (see procedures). 



59 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing- 



Item 



Prehearing ALJ prehearing 
& Hearing and hearings 
Time separate 

days per case 



ALJ preheoring 
and hearing: 
hours per cose 



ALJ Travel: 
hours per cose 



FY 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Parties 



Paperworl< 



Petitioners, respon- 76 

dents, intervenors 77 

(including agency): 78 

number f>er case 76-78 

Evidentiary docu- 76 

ments (excluding 77 

briefs): 78 

number per case 76-78 



Transcripts: 
(xiges per cose 



Briefs: 

pages per cose 



Exhibits: 
pages per case 



Contested 
motions: 
number per cose 



Written opinions 
by ALJ: 
pages per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Time/Effort (days, pages, etc.) 



Avg 




60,0 

60.0 



Min 




60 

60 



2.0 

3.0 
2.3 



57.0 
57.0 



57 
57 



3.5 

1.0 
2.7 



Max 




60 

60 



57 
57 



FY: 




76 


77 


78 


76-78 




Number: 




1 








1 




Distribution of Cases by Time/Effort Item 


N 


0-2 J 


J-9 




10-59 


60-199 20aKlays, etc. 




(coses) 


1 





1 










































1 
















1 













1 





1 





















































1 





1 


















































































2 
















2 

























1 













1 


2 


1 













3 
























































































1 










1 
















































1 










1 
























































































































































































































































2 










2 






















1 
















1 


1 


2 













3 



Procedures— 

The Administrator begins the proceeding by filing a 
complaint. Any time after the issuance of the complaint and 
prior to the hearing, the proceeding may be terminated if the 
respondent consents to an order. Such an order is not 
appealable and there is no elapsed time In the hearing stage. 

The respondent has 20 days after service of the complaint 
in which to file an answer. If he foils to do so, the 
complainant may file a motion for a proposed decision, and 
the respondent has 20 days in which to file objections. The 
ALJ will issue a decision without further procedure not less 



than 30 days after service of complainant's motion and 
proposed decision. 

If there is no default or consent order, a hearing will be 
held. A reasonable time after the close of the hearing, the 
ALJ will issue a decision. The parties have 30 days in which 
to file an appeal. 

These proceedings are administered by the Food Safety and 
Quality Service, 



60 



Agency: DEPARTMENT OF AGRICULTURE 
Cose type: Civil Rights Enforcement 



Case-Closed Cords Submitted— 

FY: 76 77 78 76-78 

Number: 4 0.0 4 



MANNER OF TERMINATION (number of coses) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 












1 





























o' 














3 









76-78 


I 






AGENCY REVIEW (number of cases) 



Review- 



76 



77 



Yes: 
No: 




4 











Affirm 
Reverse 
Modify 
Remand/Other 





















78 76-78 


4 



ELAPSFD TIME DATA 


























Case 




Elapsed Time (days) 


Distribution of Coses by Elapsed Time (cases) 


N 


Stage of Case 


Breakdown FY 


Avg 


Min 


Max 


0-lmo 


l-4mo 


'l-l2mo 


l-2yr 


2yr+ 


(coses) 


Prehearing 


All 


76 


103.8 


92 


113 





4 











4 




Cases 


77 

































78 


— 





— 
























76-78 


103.8 


92 


113 





4 











4 


Hearing 


With ALJ 


76 































Hearing on 77 


_ 




























Merits 


78 

































76-78 


- 


- 


~ 






















All 


76 


83.8 


28 


237 


2 


1 


1 








4 




Other 


77 


— 


_ 


_. 






















Coses 


78 


_. 






























76-78 


83.8 


28 


237 


2 


1 


1 








4 


Postheoring 


With 


76 


„ 


_ 


_ 






















Agency 


77 


— 


— 


— 






















Review 


78 

































76-78 


- 


- 


- 






















All 


76 


18.8 


15 


20 


4 














4 




Other 


77 































Coses 


78 

































76-78 


18.8 


15 


20 


4 














4 


Total Time 


With 


76 








_ 






















Agency 


77 


— 


~ 


~ 






















Review 


78 

































76-78 


— 


- 


- 






















All 


76 


206.3 


140 


357 








4 








4 




Other 


77 


— 


_ 


— 






















Cases 


78 

































76-78 


206.3 


140 


357 








4 








4 



61 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing- 



Item 



FY 



Prehearing 
& HeoBTing 
Time 


ALJ prehearing 
and hearing: 
separate 
days per case 


76 

77 

78 

76-78 




ALJ prehearing 
and 1 tearing; 
hours per case 


76 

77 

78 

76-78 




ALJ Travel: 
hours per case 


76 

77 

78 

76-78 



Parties Petitioners, respoi>- 76 

dents, intervenors 77 

(including agency): 78 

number per case 76-78 

Paperwork Evidentiary docu- 76 

ments (excluding 77 

briefs): 78 

number per case 76-78 



Transcripts: 


76 


pages per cose 


77 
78 




76-78 


Briefs: 


76 


pcges per ccise 


77 
78 




76-78 


Exhibits: 


76 


pages per case 


77 
78 




76-78 


Contested 


76 


motions: 


77 


number per cose 


78 




76-78 


Written opinions 


76 


by ALJ: 


77 


pages per case 


78 
76-78 



Time/Effort (days, pages, etc.) 



Avg 



Min 



Max 



'3.0 

3.0 
5.0 

5.0 



8.5 



8.5 



12 



12 



FY: 




76 




77 


78 


76-78 




Number: 






















Distributi 


ion of Coses by 1 


ime 


/Effort Item 


N 


0-2 3-9 


10-59 


60-199 


200+days, etc. 


(coses) 


































































































































































































































































































1 


3 

















4 


















































1 


3 

















4 





1 

















1 





















































1 

















1 





































































































































































































































































































































































































3 




1 












4 





















































3 




1 












4 



Procedures — 

A proceeding is commenced by mailing a notice of the 
alleged noncompliance to the applicant for or recipient of 
financial aid. A notice of hearing or of opportunity to 
request a hearing will be included. The initial decision of the 
ALJ is reviewable by the Secretary on his own motion within 
45 days or pursuant to the timely filing of exceptions. 



62 



ANNUAL CASELOAD INVENTORY 
Fiscal Years 1976-1978 



BUREAU OF ALCOHOL, TOBACCO AND FIREARMS, Department of the Treasury 



(and FY 1975 from previous publication) 



Case Type 



FY 



Cases New Cases Cases Cases 

Pending at Referred to Terminated Pending at 
Start of FY Off ice of ALJs by Agency End of FY 



Federal Alcohol Administration Act 
Permits 

27 use 204 

27 CFR 200 at seq. 

Proceedings in which (I) an applicant for a basic permit to 
import, sell, or distill alcoholic beverages may challenge a 
threatened denial of the application, or (2) a holder of a basic 
permit may challenge a threatened suspension or revocation of 
the permit. 



(75) 




47 


31 




76 


33 


92 


71 


54 


77 


54 


73 


95 


32 


78 


32 


55 


54 


33 



76-78 



220 



220 



Internal Revenue Code 
Permits 

26 use 5271 

27 CFR 200 et seq. 

Proceedings in which (I) an applicant for a permit to use 
denatured distilled spirits (industrial use) may challenge a 
threatened denial of the application, or (2) a holder of such a 
permit may challenge a threatened suspension or revocation of 
the permit. 



(75) 




2 


1 




76 


3 


4 


4 


3 


77 


3 


3 


5 


1 


78 


1 


7 


7 


1 



76-78 



14 



16 



Firearms Licensing 

18 use 923 

27 CFR 200 et seq., 27 CFR 178 

Proceedings in which (I) an applicant for a license to 
import, manufacture, or deal in firearms or ammunition may 
challenge a denial of the application, or (2) a holder of such a 
license may challenge a revocation of the license. 



(75) 




1 


1 




76 


1 


II 


7 


5 


77 


5 


7 


7 


5 


78 


5 


II 


7 


9 



76-78 



29 



Explosives Permits 

1 8 use 843 
27 CFR 181.71 

Proceedings in which (I) an applicant for a user permit or a 
license to import, manufacture, or deal in explosive materials 
may challenge a denial of the application, or (2) a permitee 
may challenge a revocation of the permit. 



(75) 












76 





6 


1 


5 


77 


5 


8 


8 


5 


78 


5 


4 


6 


3 



76-78 



15 



63 



ANNUAL CASELOAD INVENTORY 
Fiscal Years 1976-1978 



(and FY 1975 from previous publication) 
BUREAU OF ALCOHOL, TOBACCO AND FIREARMS, Department of the Treasury (continued) 



Case Type 



FY 



Coses 
Pending at 
Start of FY 



New Cases 

Referred to 

Office of ALJs 



Coses Coses 

Terminated Pending at 
by Agency End of FY 



Director of Practice 
(Internal Revenue Service) 

31 use 1026 
31 CFR 10 

Proceedings to suspend or disbar an attorney, accountant, or 
enrolled agent from practice before the IRS because of 
violation of the rules of practice. 



(75) 




II 


8 




76 


6 


10 


II 


5 


77 


5 


12 


13 


h 


78 


4 


14 


8 


10 



76-78 



36 



32 



Revenue Sharing 
(Department of the Treasury) 

31 USCA 1242 
31 CFR 51 

Hearings requested by a state or local government to 
contest a determination by the Secretary of the Treasury to 
suspend payment of funds on the ground that the state or local 
government failed to comply with prohibitions against 
discrimination. 



(75) 












76 


1 


1 


1 


1 


77 


1 


2 


1 


2 


78 


2 


5 


6 


1 



76-78 



No case-closed cards were received for this case type. 



6h 



Agency: BUREAU OF ALCOHOL, TOBACCO AND FIREARMS (DEPT. OF THE TREASURY) 

Case-Closed Cords Submitted — 

FY: 76 77 78 

Number: 60 97 44 



Cose type: Federal Alcohol Administration Act 
Permits 



76-78 

201 



iV\ANNER OF TERMINATION (number of coses) ° 

Not on Merits- 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



16 


35 


16 


67 


3 


9 


4 


16 


5 





1 


6 








2 


2 


12 


26 


5 


43 














24 


27 


16 


67 



AGENCY REVIEW (number of cases) 



Review- 


76 


77 


78 


76-78 


Yes: 
No: 


5 
55 


9 
88 


4 
40 


18 
183 


Result- 










Affirm 
Reverse 
Modify 
Remand/Other 


3 

1 


1 


7 

2 



3 

1 





13 
2 
2 

1 



ELAPSED TIME DATA 



Notes— 

" ALJ decisions without hearings occur in show cause cases 
where the respondent permittee waives the hearing. (See 27 
CFR 200.71.) 





Application or 


Case 
Breakdow 


1 FY 
76 


Elapsed Time (days) 
Avg Min Max 

337.1 25 1086 


Distribution of Cases by Elapsed Time (cases 


> H 


Stage of Cos 


0-lmo 


l-4mo 


4-l2mo 


l-2yr 

18 


2yr+ 

5 


(coses) 


Prehearing 


All 


2 


10 


25 


60 




show cause order / 


Cases 


77 


336.0 


19 


1556 


3 


18 


48 


19 


9 


97 




Referral to CALJ 




78 


350.3 





1368 


9 


8 


II 


10 


6 


44 








76-78 


339.5 





1556 


14 


36 


84 


47 


20 


201 


Hearing 


Referral to CALJ / 


With ALJ 


76 


159.5 


1 


308 


2 


4 


6 








12 




ALJ's decision 


Hearing on 77 


131.3 


1 


532 


8 


6 


10 


1 





25 






Merits 


78 


207.6 


79 


375 





2 


2 


1 





5 








76-78 


148.5 


1 


532 


10 


12 


18 


2 





42 






All 


76 


160.5 





457 


8 


13 


22 


3 





46 






Other 


77 


148.7 


1 


573 


17 


17 


32 


5 





71 






Cases 


78 


95.8 





587 


15 


10 


13 


1 





39 








76-78 


138.9 





587 


40 


40 


67 


9 





156 


Postheoring 


ALJ's decision / 


With 


76 


60.6 





274 


4 





1 








5 




Final agency 


Agency 


77 


174.0 


30 


535 


1 


3 


4 


1 





9 




action 


Review 


78 


442.0 


72 


617 





1 





3 





4 








76-78 


202.1 





617 


5 


4 


5 


4 


•0 


18 






All 


76 


9.0 





104 


49 


3 











52 






Other 


77 


5.5 





77 


86 


1 











87 






Cases 


78 


7.6 





98 


38 


2 











40 








76-78 


7.0 





104 


173 


6 











179 


Total Time 


Application or 


With 


76 


534.6 


478 


666 











5 





5 




show cause order / 


Agency 


77 


869.2 


353 


2031 








1 


4 


. 4 


9 




Final agency 


Review 


78 


952.3 


702 


1217 











2 


2 


4 




action 




76-78 


794.7 


353 


2031 








1 


11 


6 


18 






All 


76 


514.4 


47 


1160 





1 


20 


17 


15 


53 






Other 


77 


462.0 


41 


1597 





3 


32 


38 


15 


88 






Cases 


78 


461.3 


6 


1576 


2 


8 


8 


13 


9 


40 








76-78 


477.2 


6 


1597 


2 


12 


60 


68 


39 


181 



65 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or partial hearing — 















FY 




76 


77 


78 


76-78 
















Number 




13' 


28 


5 


46 






Item 


FY 

76 

77 

78 

76-78 


Time/Effort (days, p 
Avg Min 

1.2 1 

1.3 1 
1.0 1 
1.3 1 


Kiges, etc.) 
Max 


Distribul 
0-2 

11 

22 

5 

38 


ion o 
3-9 


2 

2 


f Coses 
10-59 


by Time/Effort Item 
60-199 2004<iays, etc. 







N 
(cases) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
<rid hearings 
separate 
days per cose 


2 
5 

1 
5 








11 

24 

5 

40 




ALJ prehearing 
and >ie<iring: 
hours pa- cose 


76 

77 

78 

76-78 


4.0 

14.0 

5.8 

9.6 


3 
5 
4 
3 


5 
35 

8 
35 








2 

4 

4 

10 



2 

2 

















2 
6 
4 
12 




ALJ Travels 
hours per cose 


76 

77 

78 

76-78 


: 5.0 
8.0 
12.0 
7.6 



2 
12 



10 
14 
12 
14 


1 
1 


2 








1 
1 
1 
3 
















2 
2 

1 
5 


Parties 


Petitioners, respon- 
dents, interveners 
(including ogency): 
number per cose 


76 

77 

78 

76-78 


2.0 
1.9 
2.0 
1.9 


2 
1 

2 
1 


2 
2 
2 
2 


22 

21 

4 

47 





























22 

21 

4 

47 


Paperworl< 


Evidentiary docu- 
ments (excluding 
briefs); 
number per case 


76 

77 

78 

76-78 


12.6 

17.9 
10.0 
14.7 


1 

2 
3 
1 


37 
57 
22 
57 


3 

1 


4 


3 
9 

5 
17 


9 
11 

2 
22 
















15 

21 

7 

43 




Tronscriptsi 
pages per case 


76 

77 

78 

76-78 


119.4 

200.4 

73.0 

146.1 




28 






390 
668 
149 
668 


1 


2 
3 








2 
3 
1 
6 




5 

7 

3 

15 


2 

3 

5 


10 

13 

6 

29 




Briefss 

pages per cose 


76 

77 

78 

76-78 


36.9 
50.9 
46.0 
44.6 



4 
1 



111 

115 

93 

115 


1 


1 
2 


1 

2 

3 


6 

6 

3 

15 




2 
3 
2 

7 








10 

11 

6 

27 




Exhibits: 
pages per cose 


76 

77 

78 

76-78 


19.1 
22.7 
37.3 
24.5 


1 

5 




64 

75 

200 

200 


1 


2 
3 


4 
8 

1 
13 


8 
9 

5 
22 




1 

4 

5 





1 
1 


14 

21 

9 

44 




Contested 
motions: 
number per cose 


76 

77 

78 

76-78 














4 


4 





























4 


4 




Written opinicxus 
by ALJ: 
pages per cose 


76 

77 

78 

76-78 


7.2 

, 7.4 

17.9 

8.4 



2 
2 



55 
50 
50 

55 


14 
1 
1 

16 


10 

39 

4 

53 


6 
11 

4 
21 
















30 

51 

9 

90 



Procedures — 

These cases ore of two basic types: (a) Applications for 
permits, where one of the 7 regional directors has filed a 
"notice of contemplated disapproval" and (b) "show cause 
cases," where the regional director finds a violation and 
issues a citation ordering the permittee to show cause why his 
permit should not be suspended, revoked, or annulled. In 
application cases the prehearing stage begins with the date of 
application; in show cause cases it begins with the date of the 
snow cause order. (The investigative time is not recorded in 
these statistics.) Also, in show cause cases, the ALJ makes 
the initial decision, while In applications, the judge only 



makes a recommended decision which is acted upon by the 
assistant regional commissioner who makes the initial 
decision. 

Petitions for review may be filed by the applicant or 
respondent or by the assistant regional commissioner in show 
cause cases within 1 5 days of the initial decision. Review Is 
by the Director, However, the applicant or respondent may 
opt for direct review of either the initial decision or the 
Director's decision in the U.S. Court of Appeals. (Data on 
these appeals are not included.) 



66 



Agency: BUREAU OF ALCOHOL, TOBACCO AND FIREARMS (DEPT. OF THE TREASURY) 

Case-Closed Cards Submitted^ 

FY: 76 77 78 

Number: 4 3 12 



Case type: Internal Revenue Code 
Permits 



76-78 

19 



MANNER OF TERMINATION (number of coses) ° 



Not on Merits — 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 



ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hetiring 



76 77 



78 



1 


3 


3 








2 








6 











2 










1 








1 



76-78 

7 
2 



AGENCY REVIEW (number of cases) 



Review- 



76 



77 



78 76-78 



Yes: 

No: 


2 
2 



3 



12 


2 
17 


Result- 










Affirm 
Reverse 
Modify 
Remand/Other 


2 

















2 







ELAPSED TIME DATA 





e 


Case 
Breakdown FY 


blopsed 


lime 


days) 


Distribution of Ca 


ses by tia 


jsed lir 


ne (cases 


» N 


Stage of Cos 


Avg 


Min 


Max 


(X-lmo 


l-4mo 


4-1 2mo 


l-2yr 


2yr+ 


(cases) 


Prehearing 


Application or 
show cause order / 
Referral to CALJ 


All 
Cases 


76 

77 

78 

76-78 


307.0 

275.0 

94.2 

176.2 


146 

155 

20 

20 


573 
377 
270 
573 





1 
1 




8 
8 


3 
2 
1 
6 


1 

1 


2 








4 

3 

10 

17 


Hearing 


Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


217.5 

217.5 


147 
147 


288 
288 














2 


2 














2 


2 






All 

Other 

Cases 


76 

77 

78 

76-78 


30.0 

123.3 

70.2 

75.5 


6 

31 

5 

5 


54 
306 
281 
306 


1 


5 
6 


1 

2 
3 
6 



1 

2 
3 














2 

3 

10 

15 


Post hearing 


ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


16.5 
16.5 


14 
14 


19 
19 


2 


2 


























2 



2 






All 

Other 

Cases 


76 

77 

78 

76-78 


6.5 


.8 








13 



13 


2 
3 

12 
17 


























2 

3 

12 

17 


Total Time 


Application or 
show cause order / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


488.5 
488.5 


342 
342 


635 
635 














1 




1 


1 




1 








2 


2 






All 

Other 

Cases 


76 

77 

78 

76-78 


396.0 
398.3 
228.8 
278.4 


165 

188 

55 

55 


627 
599 

551 
627 










5 

5 


1 

1 

4 
6 


1 

2 
3 

6 








2 

3 

12 

17 



Notes — 

° ALJ decisions without hearings occur in show cause cases 
where the respondent permittee waives the hearing. (See 27 
CFR 200.71.) 



67 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing- 



Item 



Prehearing ALJ prehearing 
& Hearing and hearing: 
Time separate 

days per case 



ALJ prehearing 
and hearing: 
hours pra" case 



ALJ Travel: 
hours per cose 



FY 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Parties 



Petitioners, respon- 76 
dentSj interveners 77 

(including agency): 78 

number per case 76-78 



Paperwork Evidentiary docu- 76 

ments (excluding 77 

briefs): 78 

number per cose 76-78 



Transcripts: 
pages pw case 



Briefs: 

pages po' case 



Exhibits: 
pages per case 



Contested 
motions: 
number per case 



Written opinions 
by ALJ: 
pages per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Time/Effort (days, pages, etc.) 
Avg Min Max 



1.0 

1.0 
7.0 

7.0 
7.0 

7,0 
2.0 

2.0 
34.0 

34.0 
220.5 

220.5 
44.5 

44,5 
52.0 

52.0 
2.0 

; 2.0 
: 8.7 

8.7 



I 



7 
6 

6 
2 

2 

14 

14 
199 

199 
27 

27 
22 

22 



2 



2 

54 

54 
242 

242 
62 

62 
82 

82 

4 

4 
12 

12 



FY: 




76 




77 


78 


76-78 




Number: 




2 







2 


4 




Distribut 


on of Cases by Time/Effort Item 


N 


0-2 3-9 


10-59 


60-199 200t<lays, etc. 


(coses) 


2 


















2 














































2 


















2 





2 















2 

















































2 















2 





2 















2 

















































2 















2 


2 


















2 














































2 


















2 










2 










2 






















































2 










2 















1 


1 


2 



























































1 


1 


2 










1 




1 





2 






















































1 




1 





2 










1 




1 





2 






















































1 




1 





2 


1 


1 















2 














































1 


1 















2 


1 







2 










3 














































I 







2 










3 



Procedures — 

These cases are of two basic types: (a) Applications for 
permits, where one of the 7 regional directors has filed a 
"notice, of contemplated disapproval" and (b) "show cause 
cases," where the regional director finds d violation and 
issues a citation ordering the permittee to show cause why his 
permit should not be suspended, revoked, or annulled. In 
application cases the prehearing stage begins with the dote of 
application; in show cause cases it begins with the date of the 
show cause order. (The investigative time is not recorded in 
these statistics.) Also, in show cause cases, the ALJ makes 
the initial decision, while in applications, the judge only 



makes a recommended decision which is acted upon by the 
assistant regional commissioner who makes the initial 
decision. 

Petitions for review may be filed by the applicant or 
respondent or by the assistant regional commissioner in show 
cause cases within 15 days of the initial decision. Review is 
by the Director. However, the applicant or respondent may 
opt for direct review of either the initial decision or the 
Director's decision in the U.S. Court of Appeals. (Data on 
these appeals are not included.) 



68 



Agency: BUREAU OF ALCOHOL, TOBACCO AND FIREARMS (DEPT. OF THE TREASURY) 



Cose type: Firearms Licensing 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 7 7 7 21 



MANNER OF TERMINATION (number of cases) ° 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 





1 








1 




















6 


7 


5 

















1 



76-78 


2 





AGENCY REVIEW (number of cases) 



Review- 
Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 

6 



77 

7 




78 

6 



76-78 

19 
2 



14 
2 



ELAPSED TIME DATA 





Case 
Breokdowi 


1 FY 

76 

77 

78 

76-78 


Elapsed 


Time 


Idays) 


Distribution of Ca 


ses by Ela 


psed Tir 


ne (cases 


» N 


Stage of Case 


Avg 

405.0 
523.3 
455.7 
461.3 , 


Min 

147 
204 





Max 

589 
993 

1602 
1602 


0-lmo 


l-4mo 


'i-l2mo 


l-2yr 

5 
3 

1 
9 


2yr+ 


2 
1 
3 


(cases) 


Prehearing Application or 

show cause order / 
Referral to CALJ 


All 
Cases 




1 

1 








2 
2 

4 
8 


■ 7 

7 

7 

21 


Hearing Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


138.0 
93.9 
99.2 

IIO.I 


98 

1 
70 

1 


191 
170 
157 
191 




1 



1 


2 

5 

4 

II 


4 

1 
1 
6 














6 

7 

5 

18 




All 

Other 

Cases 


76 

77 

78 

76-78 


29.0 

49.0 
42.3 


29 

32 
29 


29 

66 
66 


1 




1 




2 
2 




















1 


2 
3 


Postheoring ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


86.2 
105.0 
166.3 

118.4 


48 
24 
83 
24 


132 
111 
339 
339 




1 



1 


4 
4 
3 

II 


2 
2 
3 

7 














6 

7 

6 

19 




All 

Other 

Cases 


76 

77 

78 

76-78 





















1 



1 

2 



























1 


1 
2 


Total Time Application or 

show cause order / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


672.2 
722.1 
791.7 
728.3 


356 
352 
476 
352 


878 
1056 
1766 
1766 















1 
1 


2 


3 

3 

4 

10 


2 
3 
2 

7 


6 

7 

6 

19 




All 

Other 

Cases 


76 

77 

78 

76-78 


176.0 

32.0 
104.0 


176 

32 
32 


176 

32 
176 











1 
1 


1 




1 














1 


1 
2 


Notes— 
























° ALJ decisions without hearings occur in show cause cases 
where the respondent permittee waives the hearing. (See 27 
CFR 200.71.) 



















69 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or partial hearing — 

FY; 76 77 78 

Number: 6 7 5 



76-78 



Time/Effort (days, pages, etc.) Distribution of Cases by Time/Effort Item 



N 





Item 


FY 


Avg 


Min 


Max 


0-2 


3-9 


10-59 


60-199 


200+days, etc. 


(cases) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hteuring: 
separate 
dtiys f>er cose 


76 

77 

78 

76-78 


1.0 
LO 
1.0 
1.0 


1 
1 

1 
1 


1 
1 
1 
1 


6 

7 

5 

18 


























6 

7 

5 

18 




ALJ prehearing 
and hearing; 
hours per case 


76 

77 

78 

76-78 


5.0 
5.0 
4.6 
4.8 


5 
5 
4 
4 


5 
5 
5 
5 








2 
2 

5 
9 




















2 
2 

5 
9 




ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 


6.0 

8.0 

7.0 


6 

8 

6 


6 
8 

8 








1 
1 


2 




















1 
1 


2 


Parties 


PetitioriCTS, respon- 
dents, interveners 
(including agency): 
number per case 


76 

77 

78 

76-78 


2.0 
2.0 
2.0 
2.0 


2 
2 
2 
2 


2 
2 
2 
2 


6 

6 

6 

18 


























6 

6 

6 

18 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs): 
number per case 


76 

77 

78 

76-78 


18.2 

' 17.5 

19.3 

18.3 


12 
8 

15 
8 


44 
28 
29 
44 










1 


1 


6 

5 

6 

17 














6 

6 

6 

18 




Transcripts: 
pages per cose 


76 

77 

78 

76-78 


,99.8 

133.1 

98.0 

III.5 


14 
72 
52 
14 


175 
268 
169 
268 














2 


2 

4 


4 
6 
4 

14 




1 



1 


6 
7 
6 
19 




Briefs: 

pages per case 


76 

77 

78 

76-78 


9.3 

16.0 

10.8 

.12.1 



7 
3 



28 
26 
23 
28 


1 




1 


3 
1 
3 

7 


2 
5 
2 
9 














6 
6 
5 

17 




Exhibits: 
pages per case 


76 

77 

78 

76-78 


23.3 
17.3 
73.6 
34.9 


12 
3 

18 
3 


60 
28 
188 
188 










1 


1 


5 
6 
3 

14 


1 


2 
3 








6 

7 
5 
18 




Contested 
motions: 
numba- per cose 


76 

77 

78 

76-78 














1 




1 


























1 




1 




Written opinions 
by ALJ: 
pages per case 


76 

77 

78 

76-78 


II.O 

II.4 

8.5 

10.4 


6 

4 
5 
4 


16 
22 
13 
22 








3 
2 
4 
9 


3 

5 

2 

10 














6 

7 
6 

19 



Procedures — 

These cases are of two basic types: (a) Applications for 
permits, where one of the 7 regional directors has filed a 
"notice of contemplated disapproval" and (b) "show cause 
cases," where the regional airector finds a violation and 
issues a citation ordering the permittee to show cause why his 
permit should not be suspended, revoked, or annulled. In 
application cases the prehearing stage begins with the date of 
application; in show cause cases it begins with the date of the 
show cause order. (The investigative time is not recorded in 
these statistics.) Also, in show cause cases, the ALJ makes 
the initial decision, while in applications, the judge only 



makes a recommended decision which is acted upon by the 
assistant regional commissioner who makes the initial 
decision. 

Petitions for review may be filed by the applicant or 
respondent or by the assistant regional commissioner in show 
cause cases within 15 days of the initial decision. Review is 
by the Director. However, the applicant or res[5ondent may 
opt for direct review of either the initial decision or the 
Director's decision in the U.S. Court of Appeals. (Data on 
these appeals are not included.) 



70 



Agency: BUREAU OF ALCOHOL, TOBACCO AND FIREARMS (DEPT. OF THE TREASURY) 



Case type: Explosives Permits 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: 8 7 15 



MANNER OF TERMINATION (number of coses) ° 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



AGENCY REVIEW (number of cases) 















Review- 


76 


77 


78 


76-78 


u 





1 





1 

2 




2 
2 




Yes: 
No: 

Result- 






3 
5 


1 
6 


4 
II 










Affirm 





3 





3 







7 




4 




II 




Reverse 

Modify 

Remand/Other 














1 




1 




ELAPSED TIME DATA 





e 

Application or 
show cause order / 
Referral to CALJ 


Case 
Breakdowi 


1 FY 

76 

77 

78 

76-78 


Elapsed 


Time 


(days) 


Distribution of Ca 
0-lmo l-4mo 


ses by bla 
4-l2mo 


psed Tir 
l-2yr 


4 

4 


ne (cases) 
2yr+ 


2 
2 

4 


N 


Stage of Cos 


Avg 

636.6 
469.6 
558.7 


Min 

73 
67 
67 


Max 

2033 
1520 
2033 


(coses) 


Prehearing 


All 
Cases 










1 

3 
4 



1 

2 
3 




8 

7 

15 


Hearing 


Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

7^78 


125.4 
199.8 
152.5 


64 
101 
64 


154 
274 
274 









2 

1 
3 



5 
3 
8 
















7 

4 

II 






All 

Other 

Coses 


76 

77 

78 

76-78 


28.0 
79.3 
66.5 


28 
57 
28 


28 
120 
120 




1 



1 




3 
3 





















1 
3 

4 


Post hearing 


ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


28.0 
196.0 
70.0 


13 

196 

13 


42 
196 
196 



2 

2 



1 


1 





1 
1 















3 

1 
4 






All 

Other 

Cases 


76 

77 

78 

76-78 


48.8 
30.8 
39.0 







116 

90 

116 



3 

4 

7 



2 
2 

4 






















5 

6 

1 1 


Total Time 


Application or 
show cause order / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


1144.3 
1968.0 
1350.3 


579 
1968 
579 


2216 
1968 
2216 





















2 

2 




1 
1 

2 



3 

1 
4 






All 

Other 

Cases 


76 

77 

78 

76-78 


578.8 
456.2 
511.9 


235 
124 
124 


1015 
1219 
1219 
















1 

3 
4 



2 
2 
4 



2 

1 
3 



5 
6 

II 



Notes — 

° ALJ decisions without hearings occur in show cause cases 
where the respondent permittee waives the hearing. (See 27 
CFR 200.71.) 



71 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or partial hearing— 

FYs 76 77 78 76-78 

Number: 7 S 12 



Time/Effort (days, pages, etc.) 





Item 


FY 

76 

77 

78 

76-78 


Avg 

1.0 
1.3 
LI 


Min 

1 
1 
1 


Max 


0-2 



6 

4 

10 


3-9 








10-59 


60-199 







200+days, etc. 







(coses) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearings 
separate 
days per case 


1 

2 
2 









6 
4 
10 




ALJ prehearing 
and hearing: 
hours per case 


76 

77 

78 

76-78 


8.0 
8 


4 
4 


15 
IS 










3 
3 





1 
1 
















4 
4 




ALJ Travels 
hours per case 


76 

77 

78 

76-78 


1.0 
LO 


1 

1 


1 

1 




1 



1 





























1 


1 


Parties 


PetitionerSj respon- 
dents, interveners 
(inctixling agency): 
number per cose 


76 

77 

78 

76-78 


2.0 
2.0 
2.0 


2 
2 
2 


2 
2 
2 




7 
4 
II 



























7 
4 
II 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs): 
number per case 


76 

77 

78 

76-78 


18.4 
36.5 
25.0 


II 
10 
10 


40 
95 
95 
















7 

3 

10 





1 

1 










7 
4 
II 




Tronscriptss 

pages per cose 


76 

77 

78 

76-78 


127.7 
313.8 
195.4 


64 
61 
61 


281 
692 
692 





















6 

1 

7 




1 

3 
4 




7 
4 
II 




Briefs: 

pages per case 


76 

77 

78 

76-78 


19.4 
52.0 
29.2 


9 

24 

9 


26 
96 
96 










1 



1 



6 
2 

8 





1 
1 










7 

3 

10 




Exhibits: 
pages per case 


76 

77 

78 

76-78 


2L9 

23L5 

98.1 


13 
47 
13 


50 
500 
500 















7 
2 
9 










2 
2 




7 

4 

II 




Contested 
motions: 
number per case 


76 

77 

78 

76-78 


■ 














1 



1 





























1 


1 




Written opinions 
by ALJs 
pages per cose 


76 

77 

78 

76-78 


IL3 
ZLO 
14.8 


6 
8 
6 


25 
45 
45 









4 

1 

5 



3 
3 
6 
















7 
4 
II 



Procedures — 

These cases are of two basic types: (a) Applications for 
permits, where one of the 7 regional directors has filed a 
"notice of contemplated disapproval" and (b)' "show cause 
cases," whej-e the regional cfirector finds a violation and 
issues a citation ordering the permittee to show cause why his 
permit should not be suspended, revoked, or annulled. In 



application cases the prehearing stage begins with the date of 
application; in show cause cases it begins with the date of the 
show cause order. (The investigative time is not recorded in 

these statistics.) The A! I then makes a recommended 

decision which is acted upon by the assistant regional 
commissioner who makes the initial decision. 



72 



Agency: BUREAU OF ALCOHOL, TOBACCO AND FIREARMS (DEPT. OF THE TREASURY) 

Case-Closed Cards Submitted— 

FY: 76 77 78 

Number: 8 13 9 



Cose type: Director of Practice 

(Internal Revenue Service) 



76-78 

30 



MANNER OF TERMINATION (number of coses) 

Not on Merits- 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 






6 


1 











4 


1 


3 








1 


3 


3 


1 











1 


3 


3 



76-78 

7 




AGENCY REVIEW (number of coses) 



Review- 
Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 

I 

7 



77 

2 



78 76-78 

I 4 

8 26 



ELAPSED TIME DATA 


Cose 




Elapsed Time (days) 


Distribution 


of Cases by Elapsed Time (cases) 


N 


Stage of Cos 


Complaint / 
Assignment of ALJ 


Breakdowi 


1 fY 

76 

77 

78 

76-78 


Avg 

275.3 
342.2 
294.2 
309.9 


Min 

110 

56 






Max 

471 
762 
444 
762 


0-lmo 


-4mo 


4-l2mo 


l-2yr 

2 

5 

3 

10 


2yr+ 



1 


1 


(coses) 


Prehearing 


All 
Cases 





1 
1 


1 

3 

4 


5 

4 

5 

14 


8 
13 

9 
30 


Hearing 


Assignment of ALJ 
/ ALJ's initial 
decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


150.0 
170.7 
143.0 

157.9 


141 
126 
143 
126 


163 
235 
143 
235 














3 
3 

1 

7 














3 
3 
1 

7 






All 

Other 

Cases 


76 

77 

78 

76-78 


78.6 
79.4 
76.9 


44 
1 

2 
1 


77 
212 
223 
223 



3 
2 

5 


5 
3 

4 
12 



4 
2 
6 














5 
10 

8 
23 


Post hearing 


ALJ's initial 
decision / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


212.0 

138 

158.0 

161.5 


212 
133 
158 
133 


212 
143 
158 
212 














1 
2 

1 
4 














1 

2 
1 
4 






All 

Other 

Cases 


76 

77 

78 

76-78 


9.0 
10.5 
13.9 
11.1 








33 
35 
36 
36 


6 

8 

5 

19 


1 

3 
3 

7 




















7 
11 

a 

26 


Total Time 


Complaint / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


745.0 
971.5 
624.0 
828.0 


745 
803 
624 
624 


745 
1140 

624 
1140 























1 
1 


1 

2 


3 


1 
2 

1 

4 






All 

Other 

Cases 


76 

77 

78 

76-78 


361.4 

381.3 
383.9 
376.7 


154 

124 

52 

52 


545 
689 
557 
689 











1 
1 


4 

6 

3 

13 


3 

5 

4 

12 








7 
11 

8 
26 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



Time/Effort (days, pages, etc.) 
FY Avg Min Max 



Coses with full or (>artlal hearing — 

FY: 76 77 78 76-78 

Number: 3 4 1 8 

Distribution of Coses by Time/Effort Item 
0-2 53 10-59 60-199 200Klays, etc. 



73 



N 
(coses) 



Prehearing ALJ prehearing 
& Hearing ond hearing: 
Time separate 

days per cose 

ALJ prehearing 
cdkI hearing: 
hours per cose 



ALJ Travel: 
hours per cose 



Parties 



Paperwork 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Petitioners, respon- 76 

dents, intervenors 77 

(including agency): 78 

number per cose 76-78 

Evidentiary docu- 76 

ments (excluding 77 

briefs): 78 

number per case 76-78 



Transcripts: 
pages per case 



Briefs: 

pages per cose 



Exhibits: 
pages per case 



Contested 
motions: 
number per cose 



Written opinions 
by ALJ: 
pages per case 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



8.7 
k.O 
6.0 

7.2 

8.7 



8.7 



I 



16 

6 

16 

16 



16 



2.0 


2 


2 


2.0 


2 


2 


2.0 


2 


2 


2.0 


2 


2 


14.7 


8 


27 


19.5 


9 


42 


16.0 


16 


\6 


17.3 


8 


42 


68.7 


34 


122 


102.8 


30 


222 


37.5 





75 


16.9 





222 


7.0 





16 


26.5 


8 


6! 


'18.0 





36 


18.1 





6! 


21.3 


15 


33 


23.5 


9 


60 


100.0 





200 


■39.8 





200 



8.8 


4 


13 


11.3 


4 


3! 


9.3 


2 


17 


lO.I 


2 


31 



2 
I 

4 

3 
2 


5 






I 
3 



Procedures — 

The prehearing stage begins on the date the complaint is 
signed by the Director of Practice. The ALJ is assigned and 
has the authority to moke an initial decision. The Director or 
the respondent (attorney, accountant or enrolled agent) may 
appeal to the Secretary of the Treasury, or the Secretary may 
review on his own motion. If there is no review, the ALJ's 
decision becomes final in 30 days. 



74 



CIVIL AERONAUTICS BOARD 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1 975 from previous publication) 



Cose Type 



Coses 
Pending at 
FY Start of FY 



New Cases 

Referred to 

Office of ALJs 



Cases Coses 

Terminated Pending at 
by Agency End of FY 



Federal Aviation Act 
Routes and Licenses 

49 use 1371 
I4CFR 302 et seq. 

Applications for certificate of public convenience and 
necessity. Certification is necessary before new or modified 
air service is allowed. 



(75) 




18 


10 




76 


29 


36 


29 


36 


77 


37 


28 


23 


42 


78 


42 


61 


37 


66 



76-78 



125 



89 



Federal Aviation Act 
Foreign Permits 

49 use 1372 
I4CFR 302 et seq. 

Each foreign air carrier operating to the U.S. must have a 
foreign air carrier permit which can be granted only after 
notice and hearing and a finding that the service is in the 
public Interest. 



(75) 




39 


40 




76 


29 


47 


42 


34 


77 


33 


19 


30 


22 


78 


22 


16 


21 


17 



76-78 



82 



93 



Federal Aviation Act 
Mergers (snA Agreements 

49 use 1378, 1379, 1382 
14CFR302et seq. 

Includes a variety of proceedings, the most important of 
which is the determination whether to approve the mergers of 
two carriers or the acquisition of control by one of the other. 



(75) 




5 


7 




76 


16 


6 


16 


6 


77 


6 


3 


4 


5 


78 


5 


5 


6 


4 



76-78 



14 



26 



Federal Aviation Act 
Commercial Rates 

49 use 1 373 
l4CFR302et seq. 

Includes all proceedings with respect to rates charged by the 
carriers for air transportation of persons and cargo. 



(75) 




7 


9 




76 


14 


12 


12 


14 


77 


14 


5 


7 


12 


78 


12 


3 


9 


6 



7^78 



20 



28 



Federal Aviation Act 
Mail and Government Rates 

49 use 1 376 
I4CFR 302 et seq. 

Proceedings to determine the i-ate to be paid by the U.S. 
Postal Service for the transportation of mail, and in the case 
of subsidy carriers, the amount of subsidy required. 



(75) 




2 







76 


3 








3 


77 


3 








3 


78 


3 





1 


2 



76-78 



75 



CIVIL AERONAUTICS BOARD (continued) 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Cose Type 



Cases h4ew Cases Cases Cases 

Pending at Referred to Terminated Pending at 
FY Start of FY Office of ALJs by Agency End of FY 



Enforcement 

49 use 1471; I482(a),(b),(f) 
14CFR302etseq. 

Adversary proceedings involving violations of the Act or the 
Board's regulations. 



(75) 




8 


8 




76 


6 


10 


9 


7 


77 


7 


3 


5 


5 


78 


5 


8 


5 


8 



76-78 



21 



19 



76 



Agency: CIVIL AERONAUTICS BOARD 

Case type: Federal Aviation Act 
Routes and Licenses 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 30 27 33 90 



MANNER OF TERMINATION (number of coses) 



Not on Merits — 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 



ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76 



77 



78 76-78 



2 








2 



1 




1 



1 



3 


4 


1 





5 


23 


25 


31 


79 








1 


1 















AGENCY REVIEW (number of coses) 



Review- 


76 


77 


78 


76-78 


Yes: 
No: 


22 
8 


23 
4 


29 

4 


74 
16 


Result- 










Affirm 
Reverse 
Modify 
Remand/Other 


20 

2 



17 

5 

1 


12 
1 

16 



49 

1 
23 

1 



ELAPSED T 
Stage of Cos 


ME DATA 

e 

Filing of 
applicaiton / 
Referral to CALJ 


Case 
Breakdowi 


1 FY 

76 

77 

78 

76-78 


Elapsed Time (days) 
Avg Min Max 

515.5 6 2172 
406.5 2 2560 
191.4 1 1552 
361.9 1 2560 


Distribution of Coses by Ela 
OLimo l-4mo 4-l2mo 


psed Tir 
i-2yr 

4 

5 

3 

12 


ne (cases) 
2yr+ 

6 

3 

2 

II 


N 
(cases) 


Prehearing 


All 
Cases 


3 
10 
16 
29 


4 
2 

5 
II 


12 
6 
7 

25 


29 
26 
33 
88 


Hearing 


Referral to CALJ / 
ALJ's decision or 
order 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


291.4 
356.9 
317.8 
322.4 


60 

108 

56 

56 


649 

Mil 

678 

nil 








2 

3 
4 
9 


14 

14 
16 
44 


7 

6 

12 

25 



2 

2 


23 
25 
32 
80 






All 

Other 

Cases 


76 

77 

78 

76-78 


234.3 
234.5 
223.0 
232.5 


202 
90 

223 
90 


258 
379 

223 
379 









1 


1 


3 


1 
4 



1 


1 








3 
2 

1 
6 


Post hearing 


ALJ's decision or 
order / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


345.0 
247.0 
223.7 
267.0 


89 
61 
20 
20 


1005 

959 

1104 

1104 




2 
2 


4 

8 

10 

22 


12 
1! 
13 
36 


2 
3 

3 
8 


4 
1 
1 
6 


22 

23 
29 
74 






All 

Other 

Cases 


76 

77 

78 

76-78 


5.0 
31.5 
70.8 
35.8 








20 

63 

202 

202 


4 
2 
2 
8 



2 
1 
3 




1 

1 














4 

4 

4 

12 


Total Time 


Filing of 

application / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


1288.4 

1067.0 

745.2 

1001.9 


392 
259 

77 
77 


3324 
3101 
1948 
3324 











1 
1 



2 
2 

4 


7 
10 
13 
30 


14 
10 
13 
37 


21 
22 
29 
72 






All 

Other 

Cases 


76 

77 

78 

76-78 


348.1 
406.3 
466.8 
392.3 


222 

381 

95 

95 


480 
432 
894 
894 











1 

1 


4 

1 
5 


4 
4 

1 
9 





1 
1 


8 
4 
4 
16 



77 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing — 

FY: 76 77 78 76-78 

Number: 24 25 32 81 



Time/Effort (days, pages, etc.) Distribution of Cases by Time/Effort Item 



N 





Item 


FY 

76 

77 

78 

76-78 


Avg 

7.2 

13.3 

3.9 

7.7 


Min 

1 
1 
1 

1 


Max 


0-2 

10 

4 

15 

29 


3-9 

12 
14 
15 
41 


10-59 


60-199 


1 


1 


2(K>+days, etc. 







(cases) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearing: 
separate 
days per cose 


52 
77 
32 
77 


4 
5 
2 

II 


26 
24 
32 
82 




ALJ prehearing 
and hearing: 
hours per case 


76 

77 

78 

76-78 


121.5 
129.8 
135.1 
129.7 


1 

4 
2 

1 


659 
616 
565 
659 


1 


1 
2 


1 

4 
3 
8 


12 

6 

II 

29 


2 
3 
8 
13 


4 

6 

7 

17 


20 
19 
30 
69 




ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 


13.7 

20,7 

5.5 

12.9 








80 
97 
32 
97 


9 

9 

13 

31 


2 

1 

4 
7 


6 

7 

6 

19 


1 

3 

4 








18 
20 
23 
61 


Parties 


Petitiraiers, respon- 
dents, interveners 
(including agency): 
number per case 


76 

77 

78 

76-78 


9.8 
13.9 
14.6 
13.0 


3 
3 
2 
2 


23 
6! 
62 
62 





1 
1 


15 
II 
15 
4! 


10 

13 
14 
37 



1 

3 
4 








25 
25 
33 
83 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs): 
number f>er case 


76 

77 

78 

76-78 


304.0 
205.8 
251.8 
253.0 


4 
6 
5 
4 


990 
898 
837 
990 








2 

3 

5 

10 


6 
8 

7 
21 


3 
5 
5 

13 


11 

7 
13 
31 


22 
23 
30 

75 




Transcripts: 
pcges per case 


76 

77 

78 

76-78 


685.0 
740.0 
518.8 
633.0 


30 
32 
30 


4255 
5332 
4909 
5332 

















1 

2 
3 


5 

3 

14 

22 


18 
20 
17 
55 


23 
24 
33 
80 




Briefs: 

pages per cose 


76 

77 

78 

76-78 


246.0 
289.5 
280.5 
273.1 



46 
42 




573 
1116 
1400 
1400 


1 




1 








1 

2 
5 
8 


9 

8 

12 

29 


12 
14 
14 
40 


23 
24 
31 
78 




Exhibits: 
pc^es pCT case 


76 

77 

78 

76-78 


984.4 
2292.4 
1412.8 
1569.4 


15! 
55 
83 
55 


2600 
15000 
12000 
15000 















I 


1 


r 



7 
8 


22 
24 
24 
70 


23 
25 
31 
79 




Contested 
motions: 
number per case 


76 

77 

78 

76-78 


1.6 
2.7 
2.9 
2.5 








14 
16 
45 
45 


15 
12 
21 
48 


2 

7 
6 
15 


1 

I 
1 
3 














18 
20 
28 




Written opinions 
by ALJ: 
pages per cose 


76 

77 

78 

76-78 


65.7 
61.6 
68.3 
65.5 


19 
16 
21 
16 


173 
178 
189 
189 














13 
16 
17 
46 


10 
9 

15 
34 








23 
25 
32 
80 



Procedures — 

The prehearing stage begins when the application for 
authority is filed Dy the carrier. If consolidations occur, the 
earliest date is used. Upon a staff recommendation, the 
Board issues a formal order of investigation. At that point 
the case is referred to the CALJ. After the decision is made, 



exceptions may be filed. The reviewing staff makes a 
recommendation to the Board. Oral argument may be had 
before the Board. The Board then decides the case and gives 
instructions to its opinion writing staff which transmits the 
draft opinion for final Board decision. 



78 



Agency: CIVIL AERONAUTICS BOARD 

Case type; Federal Aviation Act 
Foreign Permits 



Case-Closed Cords Submitted — 

FY: 76 77 78 76-78 

Number: 42 29 22 93 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrowol 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 





















I 


1 


2 


1 





3 


1 





2 


3 


39 


28 


19 


86 



























AGENCY REVIEW (number of coses) 
Review— 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



39 
3 



27 
2 



35 24 



1 3 
3 



76-78 

82 
II 



6S 




Fl APSEDT 
Stage of Cos 


ME DATA 

e 

Filing of 
applicaiton / 
Referral to CALJ 


Case 
Breakdowi 


1 FY 

76 

77 

78 

76-78 


ElaF>sed Time (days) 
Avg Min Max 

61.2 4 853 

82.5 4 347 

268.3 4 2419 

118.1 4 2419 


Distribution of Cases by Elo] 
0-lmo l-'imo 'l-l2mo 


psed Time (coses) 
l-2yr 2yr+ 

1 

2 2 
2 3 


N 
(coses) 


Prehearing 


All 
Cases 


22 
7 
4 

33 


16 
17 
12 
45 


1 

5 
2 
8 


. 40 
29 
22 
91 


Hearing 


Referral to CALJ / 
ALJ's decision or 
order 


With ALJ 76 

Hearing on 77 

Merits 78 

7^78 


87.4 
165.9 
216.9 
141.6 


24 
27 
44 
24 


305 
287 
822 
822 


5 
1 


6 


27 
6 
7 

40 


7 
21 
10 
38 




1 
1 




1 

1 


39 
28 
19 
86 






All 

Other 

Coses 


76 

77 

78 

76-78 


303.5 
185.0 
157.3 
210.7 


56 

185 

98 

56 


551 
185 
269 

551 








1 


2 
3 




1 
1 
2 


1 




1 








2 

1 

3 
6 


Posthearing 


ALJ's decision or 
order / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


162.1 
262.6 
324.2 
226.8 


56 
31 
89 

31 


555 
1186 
1530 
1530 








18 

12 

4 

34 


19 
9 
9 

37 


2 

4 
2 
8 



2 

1 
3 


39 
27 
16 
82 






All 

Other 

Coses 


76 

77 

78 

76-78 


5.5 

586.5 

43.8 

144.7 




76 






II 

1097 

106 

1097 


2 

3 
5 




1 

3 
4 
















1 


1 


2 

2 

6 

10 


Total Time 


Filing of 

application / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


303.8 
515.0 
870.8 
486.2 


101 
110 
226 
101 


1312 
1518 
3310 
3310 








1 
1 


2 


31 
9 
5 

45 


4 
14 

5 
23 


2 
3 

6 
11 


38 
27 
16 
81 






All 

Other 

Coses 


76 

77 

78 

76-78 


258.7 
791.0 
335.7 
397.5 


101 
287 
161 
101 


569 
1295 

635 
1295 








2 



2 




1 

3 
4 


1 


3 
4 



1 


1 


3 
2 
6 

11 



79 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing- 















FY 




76 


77 


78 


76-78 
















Number 




39 


28 


19 


86 






Item 


FY 


Time/Effort (days, pages, etc.) 
Avg Min Max 


Distribut 
0-2 


ion of Coses by Time/Effort Item 
3-9 10-59 60-199 200Klays, etc. 


N 
(cases) 


Prehearing 

& Hearing 
Time 


ALJ prehearing 
and hearings 
sefxarote 

days per cose 


76 
77 
78 

76-78 


1.6 
2.5 
2,4 
2.0 


1 
1 
1 

1 


II 

20 

9 

20 


37 
23 
14 
74 


1 

4 
3 
8 


1 
1 


2 
















39 
28 
17 
84 




ALJ prehearing 
<md hearing; 
hours per cose 


76 

77 

78 

76-78 


35.9 

58.5 

22.6 

: 39.3 


1 

8 
2 
1 


245 

160 

80 

245 


2 

2 

4 


4 

1 

8 
13 


26 
II 

4 
41 




2 

9 

3 

14 


1 




1 


35 
21 
17 
73 




ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 




















23 
17 
10 
50 




























23 
17 
10 
50 


Parties 


Petitioners, respon- 
dents, intervenors 
{including agency): 
number per case 


76 

77 

78 

76-78 


3.4 

, 4.6 

5.1 

^.1 


2 
2 
2 
2 


19 
II 
16 
19 


22 

7 

4 

33 


16 
IS 
12 
43 


1 

4 
3 
8 

















39 
26 
19 

84 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs); 
number per cose 


76 

77 

78 

76-78 


24.8 
27.2 
26.3 
25.9 


1 


3 



259 

120 

96 

259 


9 
1 


10 


9 
II 

3 
23 


17 
II 
13 
41 




1 

4 
2 

7 


1 




1 


37 
27 
18 
82 




Transcripts: 
pages per cose 


76 

77 

78 

76-78 


54.1 

93.9 

194.2 

, 98.0 


3 
8 
9 
3 


559 
496 
1286 
1286 








12 
1 

1 
14 


17 

15 

4 

36 




9 

8 

II 

28 


1 

4 
3 
8 


39 
28 
19 
86 




Briefs: 

pages per case 


76 

77 

78 

76-78 


37.4 

51.8 

108.3 

58.4 








236 
210 
759 
759 


10 
4 
2 

16 


2 
1 
2 

5 


13 

13 

7 

33 




6 

7 

3 

16 


1 
1 

3 
5 


32 
26 
17 
75 




Exhibits: 
pages per case 


76 

77 

78 

76-78 


113.8 
187.0 
411. 1 
203.4 



24 
37 




114 

700 

3026 

3026 


1 




1 


2 


2 


20 
6 
1 

27 




II 
14 
10 
35 


5 

8 

8 

21 


39 
28 
19 

86 




Contested 

motions: 
number peer cose 


76 

77 

78 

76-78 


.9 

.7 

2.7 

1.3 








12 

8 

30 

30 


24 
19 
14 
57 


2 
1 


3 


1 


2 
3 

















27 
20 
16 
63 




Written opinions 
by ALJ: 
pages per case 


76 

77 

78 

76-78 


19.8 
27.3 
30.2 

24.6 


6 

10 
9 
6 


82 

57 
116 
116 








4 

1 
5 


33 
28 
17 

78 




1 


1 
2 








38 
28 
19 
85 



Procedures — 

The prehearing stage begins when the application for 
authority is filed oy the carrier. If consolidations occur, the 
earliest dote is used. The case is then set for'hearing, usually 
without a formal Board order. At that point the case is 
referred to the CALJ. After the decision is made, exceptions 
may be filed. The reviewing staff makes a recommendation 



to the Board. Oral argument may be had before the Board, 
The Board then decides the case and gives instructions to its 
opinion writing staff which transmits the draft opinion for 
Board decision. The Board's decision must be ratified by the 
President of the U.S. This time is reflected in the 
posthearing stage. 



80 



Agency: CIVIL AERONAUTICS BOARD 

Cose type: Federal Aviation Act 

Mergers and Agreements 



Case-Closed Cords Submitted — 

FY: 76 77 78 76-78 

Numlier: 16 4 6 26 



MANNER OF TERMINATION (number of cases) 

Not on Merits- 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 















1 








1 





1 


1 


2 





1 





1 


15 


1 


5 


2! 





1 





1 















AGENCY REVIEW (number of cases) 



Review- 
Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
RemofKl/Other 



76 

14 
2 



77 

2 
2 



78 76-78 



5 I 2 

4 I 

2 2 

3 



20 
6 



ELAPSFD TIME DATA 


Case 




Elapsed Time (days) 


Distribution of Cases by Elapsed Time (cases) 


N 


Stage of Cos 


e 

Filing of 
appMcaiton / 
Referral to CALJ 


Breakdowi 


1 FY 

76 

77 

78 

76-78 


Avg 

195.8 
26.5 
149.8 
159.5 


Min 


1 

3 



Max 

1984 

56 

268 

1984 


0-lmo 


l-4mo 


4-l2mo 


l-2yr 







2yr+ 

1 


. 

1 


(cases) 


Prehearing 


All 
Cases 


8 

2 

1 

11 


3 
2 
1 
6 


4 

3 
7 


16 
4 
5 

25 


Hearing 


Referral to CALJ / 
ALJ's decision or 
order 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


315.7 
184.0 
300.4 
300.3 


98 
93 

91 
91 


630 
275 
454 
630 








2 
1 

1 
4 


8 
1 

2 
11 


5 

2 
7 









15 
2 
5 

22 






All 

Other 

Cases 


76 

77 

78 

76-78 


194.0 

410.0 

93.0 

232.3 


194 

410 

93 

93 


194 

410 

93 

410 











1 
1 


1 




1 



1 


1 








1 
1 
1 
3 


Posthearing 


ALJ's decision or 
order / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


381.1 
116.0 
295.0 
337.4 


139 
83 

134 
83 


781 
149 
570 
781 










1 



1 


8 
1 

3 
12 


5 


1 
6 


1 




1 


14 
2 

4 
20 






Ail 

Other 
Cases 


76 

77 

78 

76-78 


14.5 
492.0 

13.5 
109.6 




492 






29 
492 

27 
492 


2 

2 

4 

















1 


1 








2 

1 

2 
5 


Total Time 


Filing of 

application / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


794.3 
304.5 
820.0 
746.8 


258 
177 
764 
177 


1621 
432 
883 

1621 














' 


1 
1 


2 


6 

1 


7 


7 



3 

10 


14 
2 
3 

19 






All 

Other 

Coses 


76 

77 

78 

76-78 


1154.0 
545.5 
128.0 
609.2 


130 
148 
106 
106 


2178 
943 
150 

2178 











1 
1 


1 
1 
1 
3 








1 
1 


2 


2 
2 
2 
6 



81 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or portiol hearing— 















FY: 




76 77 78 


76-78 
















Number: 




15 3 5 


23 






Item 


FY 

76 

77 

78 

76-78 


Time/Effort (days, f 
Avg Min 

9.8 1 
6.0 4 
6.2 2 

8.5 1 


>ages, etc.) 

Max 


Distribut 
0-2 

2 

2 
4 


ion 
}-9 

6 
2 
2 

10 


f Coses by Time/E 
10-59 60-199 20( 


Ffort Item 
l>+days, etc. 







N 
(coses) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearing: 
separate 
days per case 


21 
10 
20 
21 


7 
1 
1 
9 


15 
3 
5 

23 




ALJ prehearing 
CTxi hearing: 
hours per case 


76 

77 

78 

76-78 


173.6 
91.3 
49.0 

125.3 


8 

20 

8 

8 


516 

96 

160 

516 








1 


1 

2 


2 3 

2 1 

3 1 

7 5 


4 


4 


10 
3 
5 

18 




ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 






2.0 

.7 










6 
6 


5 
1 

2 
8 





1 
1 














5 
1 

3 
9 


Parties 


Petitioners, respon- 
dents, inter venors 
(including agency); 
number per cose 


76 

77 

78 

76-78 


15.5 

19.0 

6.8 

14.1 


4 
12 

1 
1 


36 
29 
12 
36 





1 
1 


5 

2 
7 


10 
3 
2 

15 








15 
3 
5 

23 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs): 
number per case 


76 

77 

78 

76-78 


238.9 

57.3 

,13.6 

166.2 


10 
4 
3 
3 


664 

152 

25 

664 









1 

2 
3 


6 4 

1 1 

3 

10 5 


5 



5 


IS 
3 
5 

23 




Transcripts: 
pages per case 


76 

77 

78 

76-78 


1231.4 
770.7 
349.8 
968.2 


154 
410 
161 
154 


2864 

1210 

645 

2864 














1 

1 
2 


13 
3 
4 

20 


14 
3 
5 

22 




Briefs: 

pages per cose 


76 

77 

78 

76-78 


432.5 
319.3 
284.4 
383.4 


60 

160 

26 

26 


881 
497 
700 
881 














3 

1 

1 1 

1 5 


11 
2 
3 

16 


14 
3 
5 

22 




Exhibits: 
pages per cose 


76 

77 

78 

76-78 


2581.5 
864.3 
785.2 

1 939.1 


475 

700 

35 

35 


8441 

950 

1764 

8441 


















1 
1 


14 
3 
4 

21 


14 
3 
5 

22 




Contested 
motions: 
number per cose 


76 

77 

78 

76-78 


5.0 

13.5 

.8 

. 4.8 



2 




10 

25 

3 

25 


3 

1 

4 
8 


4 


1 

5 


2 
1 


3 








9 
2 

5 
16 




Written opinions 
byAU: 
poges per case 


76 

77 

78 

76-78 


89.0 
64.3 
49.6 
76.7 


38 
19 
14 
14 


255 
154 
101 
255 














4 9 
2 1 
4 1 
10 11 


1 




1 


14 
3 
5 

22 



Procedures — 

The prehearing stage begins when the application for 
authority Is filed oy the carrier. If consolidations occur, the 
earliest date is used. The case is then set for hearing, usually 
without a formal Board order. At that point the case is 
referred to the CALJ. After the decision is made, exceptions 



may be filed. The reviewing staff makes a recommendation 
to the Board. Oral argument may be had before the Board. 
The Board then decides the case and gives Instructions to its 
opinion writing staff which transmits the draft opinion for 
final Board decision. 



82 



Agency: CIVIL AERONAUTICS BOARD 

Cose type: Federal Aviation Act 
Commercial Rates 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: 13 7 9 29 



MANNER OF TERMINATION (number of coses) 

Not on Merits- 76 77 78 76-78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 















4 








4 


1 


1 


3 


5 














8 


6 


6 


20 



























AGENCY REVIEW (number of coses) 
Review— 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76-78 

19- 
10 



ELAPSED T 
Stoge of CcH 


IME DATA 
>e 

Filing of tariff / 
Referral to CALJ 


Case 
Breakdowi 


n FY 

76 

77 

78 

76-78 


Elapsed Time (days) 
Avg Min Max 

114.7 14 362 
209.9 47 545 
132.7 6 413 
144.3 6 545 


Distribution 
0-lmo 


of Coses by Ela 
-4mo 4-l2mo 


psed Time (cases) 
l-2yr 2yr+ 



1 

1 

2 


N 
(cases] 


Prehearing 


All 
Cases 


4 

4 
8 


2 
3 

1 
6 


6 

3 

3 

12 


12 

7 

9 

28 


KHeoring 


Referral to CALJ / 
ALJ's decision or 
order 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


378.4 
686.7 
415.5 
482.0 


167 

218 

41 

41 


802 
1285 

711 
1285 











1 
1 


5 
1 

2 
8 


2 
3 
3 

8 


1 

2 

3 


8 

6 

6 

20 






All 

Other 

Cases 


76 

77 

78 

76-78 


349.0 

127.0 

1038.0 

493.5 


41 
127 
384 

41 


1512 

127 

1692 

1692 








4 


4 



1 


1 





1 
1 


1 


1 
2 


5 
1 

2 
8 


Post hearing 


ALJ's decision or 
order / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


466.8 
418.7 
632.4 
495.2 


61 
76 
84 
61 


972 

852 

2123 

2123 








1 
1 
1 
3 


3 
2 
2 

7 


2 
2 

1 
5 


2 

1 
1 
4 


8 

6 

5 

19 






All 

Other 

Cases 


76 

77 

78 

76-78 




365.0 

9.7 

43.8 




365 








365 

29 

365 


5 

3 
8 










1 


1 














5 

1 

3 
9 


Total Time 


Filing of tariff / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


859.3 
1342.3 
1269.8 
1134.3 


405 
368 
658 
368 


1743 
2682 
2798 
2798 




















3 

1 
1 
5 


4 

5 

4 

13 


7 

6 

5 

18 






All 

Other 

Cases 


76 

77 

78 

76-78 


418.8 
539.0 
746.0 
561.7 


68 
539 
390 

68 


1726 

539 

1716 

1726 








4 


4 











1 

3 
4 


1 


1 
2 


5 
1 

4 
10 



83 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing— 

FY: 76 77 78 76-78 

Number: 8 6 6 20 









Time/Effort (days, pages, etc.) 


Distribution of Cases by 1 


rime 


/Effort Item 


N 




Item 


FY 

76 

77 

78 

76-78 


Avg 

6.9 
13.6 
14.3 
II.O 


Min 

1 
5 

1 
1 


Max 


0-2 

3 

3 
6 


3-9 

4 
3 
2 
9 


10-59 60- 


21 




1 

1 


200+<lays, etc. 







(cases) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and Iteuring: 
separate 
days per case 


26 
38 
67 
67 


2 
2 
1 
5 


9 

5 

7 

21 




ALJ prehearing 
and liearing: 
hours per case 


76 

77 

78 

76-78 


26.4 
44 LO 
172.8 
216.3 


1 
37 
16 

1 


71 

1930 

539 

1930 


1 



1 


1 



1 


2 
2 

1 
5 


1 

2 
2 
5 




1 
1 

2 


5 
5 
4 
14 




ALJ Travel; 
hours per case 


76 

77 

78 

76-78 


15.3 

13.3 



12.3 








46 

40 



46 


2 
2 

1 
5 








1 
1 


2 














3 
3 

1 
7 


Parties 


Petitioners, respon- 
dents, intervenors 
(incIiKding agency); 
number per case 


76 

77 

78 

76-78 


26.3 
21.8 
11.9 
19.7 


1 

13 

3 

1 


81 
40 
37 
81 


1 




1 


2 

5 

7 


3 

4 
2 
9 


1 




1 








7 

4 

7 

18 


Paperwork 


Evidentiary .docu- 
ments (excluding 
briefs): 
number per cose 


76 

77 

78 

76-78 


268.9 

184.3 

65.5 

176.8 


39 
30 

7 
7 


779 
277 
212 
779 












1 
1 


1 
1 

3 
5 


2 


1 
3 


4 
2 

1 
7 


7 
3 
6 
16 




Transcripts: 
pages per case 


76 

77 

78 

76-78 


968.6 
1751.0 

530.2 
1039.8 


137 
570 

6! 

6! 


2598 
5111 
1739 
5111 




















1 


2 
3 


6 
5 
4 
15 


7 

5 

6 

18 




Briefs: 

pcges per case 


76 

77 

78 

76-78 


529.0 
737.8 
,175.0 
469.0 


58 

427 






2000 

1593 

485 

2000 





1 
1 








1 


1 
2 


2 

1 
3 


4 

5 

3 

12 


7 
5 
6 
18 




Exhibits: 
pages per case 


76 

77 

78 

76-78 


3139.0 

3258.4 

563.3 

2313.6 


191 

999 
II 
11 


9000 
8824 
1223 

9000 

















1 
1 


1 




1 


6 
5 

5 
16 


7 
5 
6 
18 




Contested 
motions: 
number per cose 


76 

77 

78 

76-78 


.3 

; 4.8 

5.0 
, 3.3 




2 



1 
15 

8 
15 


4 
2 
1 
7 




1 

3 

4 




1 



1 














4 
4 
4 
12 




Written opinions 
by ALJ: 
pages per cose 


76 

77 

78 

76-78 


50.9 
119.0 

53.2 
;70.6 


32 
38 
19 
19 


87 
329 
172 
329 














6 
2 
5 
13 


1 

2 

1 
4 




1 



1 


7 

5 

6 

18 



Procedures— 

The prehearing stage begins when the tariff is filed. The 
staff begins its investigation promptly because the Board 
must make its initial order allowing or suspending the tariff 
within 30 days. Most cases are disposed of by negotiations 
during informal conference proceedings. Only those for 
which the Board has ordered a hearing are reflected in these 
statistics. 



84 



Agency: CIVIL AERONAUTICS BOARD 

Case type: Federal Aviation Act 

Mall and Government Rates 



Case-Closed Cords Submitted— 

FY: 76 77 78 76-78 

Number: 1 I 



MANNER OF TERMINATION (number of coses) 

Not on Merits- 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 

On AAerits — 

A1_J Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 













































1 





















76-78 








AGENCY REVIEW (number of coses) 



Review- 
Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 






77 













78 76-78 

1 I 





ELAPSED TIME DATA 





e 


Case 
Breakdown FY 


Elapsed Time (days) 
Avg Min Max 


Distribution of Coses by Elapsed Time (coses 


> N 


Stage of Cos 


0-lmo 


l-4mo 


4-l2mo 


l-2yr 


2yr+ 


(cosesl 


Prehearing 


Petition or Order / 
Referral to CALJ 


All 
Cases 


76 

77 

78 

76-78 


lOII.O 
101 1.0 


1011 
ION 


ION 
1011 





























1 
1 





1 

1 


Hearing 


Referral to CALJ / 
ALJ's decision or 
order 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


1183.0 
1183.0 


1183 
1183 


1183 
1183 
































1 
1 





1 
1 






All 

Other 

Cases 


76 

77 

78 

76-78 


- 


- 


- 







































Postheoring 


ALJ's decision or 
order / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


428.0 
428.0 


428 
428 


428 
428 
























! 

1 











! 
1 






All 

Other 

Cases 


76 

77 

78 

76-78 


- 


- 


- 






































Total Time 


Petition or order / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


2622.0 
2622.0 


2622 
2622 


2622 
2622 





























1 
1 





1 
1 






All 

Other 

Coses 


76 

77 

78 

76-78 


- 


~ 


■ - 









































85 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or partial hearing— 

FYs 76 77 78 76-78 

Number; II 



Time/Effort (days, pages, etc.) 





hem 


FY 

76 

77 

78 

76-78 


Avg 

15.0 
15.0 


Min 

15 
15 


Max 


0-2 







3-9 







10-59 


60-199 







20Otdays, etc. 







(cases) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearing: 
separate 
days per case 


15 

15 





1 
1 





1 
1 




ALJ prehearing 
and hearing: 
hours pCT case 


76 

77 

78 

76-78 


75!^0 
75.0 


75 
75 


75 
75 























i 
1 











1 

1 




ALJ Travel! 
hours per cose 


76 

77 

78 

76-78 

















1 
1 






























1 
1 


Parties 


Petitioners, respon- 
dents, interveners 
(including agencyh 
number per case 


76 

77 

78 

76-78 


10.0 
10.0 


10 

10 


10 
10 

















1 
1 


















1 
1 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefsh 
number per case 


76 

77 

78 

76-78 


- 


- 


- 









































Transcripts: 
pages per cose 


76 

77 

78 

76-78 


1919.0 
I9I9.0 


1919 
1919 


1919 
1919 





























1 

1 





1 
1 




Briefs: 

pages per cose 


76 

77 

78 

76-78 


896.0 
896.0 


896 
896 


896 
896 





























1 
1 





1 

1 




Exhibits: 
pages per cose 


76 

77 

78 

76-78 


6227.0 
6227.0 


6227 
6227 


6227 
6227 





























1 
1 





1 

1 




Contested 
motions: 
number per case 


76 

77 

78 

76-78 


21.0 
21.0 


21 
21 


21 
21 

















1 
1 

















1 
1 




Written opinions 
by ALJ; 
pages per case 


76 

77 

78 

76-78 


235.0 
235.0 


235 
235 


235 
235 





























1 
1 





1 
1 



Procedures — 

These proceedings may be initiated by (I) the filing of a 
petition either by the Postmaster General or by a carrier 
whose rate is to be fixed, or (2) upon issuance of an order by 
the Board directing the respondent to show cause why the 
Board should not adopt specified findings, conclusions, and 
rates. In a show cause order case, if a timely answer is filed 
which raises a material issue of fact, a prehearing conference 
and a hearing will be held unless waived. In a petition case, 
the Board orders a hearing on issues which will be formulated 



at a prehearing conference. 

The case is then referred to the CALJ. After the decision 
is made, exceptions may be filed. The reviewing staff makes 
a recommendation to the Board. Oral argument may be had 
before the Board, The Board then decides the case and gives 
instructions to its opinion writing staff which transmits the 
draft opinion for final Board decision. 



86 



Agency: CIVIL AERONAUTICS BOARD 
Case type: Enforcement 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 9 6 4 19 



MANNER OF TERMINATION (number of coses) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On AAerits — 

ALJ hlearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 






1 





1 


2 








2 














1 





2 


3 


6 


5 


2 


13 



























AGENCY REVIEW (number of cases) 



Review- 


76 


77 


78 


76-78 


Yes: 
No: 


1 
8 


5 

1 


1 
3 


7 
12 


Result- 










Affirm 
Reverse 
Modify 
Remand/Other 


1 






5 





1 






7 






ELAPSED T 
Stage of Co! 


IME DATA 
se 

Date complaint is 
found worthy of 
investigation / 
Referral to CALJ 


Case 
Breakdow 


n FY 

76 

77 

78 

76-78 


Elapsed Time (days) 
Avg Min Max 

185.0 31 385 
160.8 2 574 
192.8 52 392 
179.0 2 574 


Distribution of Cases by Elq 
0-lmo l-4mo 4-l2mo 


p»sed Tir 
l-2yr 

2 
1 

1 
4 


ne (cases) 
2yr+ 







N 
cases] 


Prehearing 


All 
Coses 



2 

2 


3 
2 
2 

7 


4 

1 
1 
6 


9 

6 

4 

19 


Hearing 


Referral to CALJ / 
ALJ's decision or 
order 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


123.3 
374.0 
152.0 
224.2 


76 

222 

46 

46 


225 
700 
258 
700 








4 

1 
5 


2 
3 

1 
6 



2 

2 









6 

5 

2 

13 






All 

Other 

Cases 


76 

77 

78 

76-78 


92.5 
98.0 
102.0 
97.4 


63 
98 
98 
63 


122 

98 

106 

122 








1 
1 

2 
4 


1 



1 














2 

1 

2 
5 


Post hearing 


ALJ's decision or 
order / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


30.0 
247.0 
447.0 
244.6 


30 
115 
447 

30 


30 
396 
447 
447 


1 




1 



1 


1 



3 

3 




1 
1 
2 








1 

5 
1 
7 






All 

Other 

Cases 


76 

77 

78 

76-78 


75.0 
29.0 
27.0 
57.7 



29 
22 




266 
29 
31 

266 


4 

1 
2 

7 


2 

1 
3 


1 



1 














7 
1 

3 
II 


Total Time 


Date complaint is 
found worthy of 
investigation / 
final agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


268.0 
813.6 
969.0 
757.9 


268 
458 
969 
268 


268 
1174 

969 
1174 














I 




1 



2 

2 



3 

1 

4 


1 

5 
1 

7 






All 

Other 

Cases 


76 

77 

78 

76-78 


369.4 
129.0 
279.3 
326.8 


168 
129 
129 
129 


587 
129 
526 
587 














4 
1 

2 
7 


4 


1 
5 








8 
1 

3 
12 



87 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or partial hearing- 















FY: 




76 


77 78 


76-78 
















Number: 




7 


5 2 


14 






Item 


FY 

76 

77 

78 

76-78 


Time/Effort (days, f 
Avg Min 

2.7 1 

6.8 1 
2.0 2 
4.3 1 


Kiges, etc.) 
Max 


Distribut 
0-2 

5 
2 

1 
8 


ion 
J-9 


2 

2 


f Cases 
10-59 


by Time/Effort Item 
60-199 200+days, etc, 







N 
(cases) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearings 
separate 
days per cose 


10 

22 

2 

22 


1 
1 


2 


6 

5 

1 

12 




ALJ prehearing 
end hearing; 
hours per ctise 


76 

77 

78 

76-78 


131.2 

93.7 

232.0 

129.9 


18 

15 

232 

15 


320 
194 
232 
320 














3 

1 


4 



2 

2 


2 


1 
3 


5 
3 

1 
9 




ALJ Travel: 
hours per case 


76 

77 

78 

76-78 


16.0 

II.O 



11.7 








48 

22 



48 


2 

1 
1 
4 









1 
1 


2 















3 
2 
1 
6 


Parties 


Peltitioners, respon- 
dents, interveners 
(including agency )s 
number per cose 


76 

77 

78 

76-78 


2.6 
4.4 
2.8 
3.3 


2 
3 
2 
2 


4 
6 
4 
6 


3 

2 

5 


2 
5 
2 
9 




















5 

5 

4 

14 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs); 
number per cose 


76 

77 

78 

76-78 


38.4 
322.0 

12.0 
141.4 


23 
II 

3 
3 


81 
920 

17 
920 











1 
1 


4 
1 
2 

7 


1 

2 

3 



2 

2 


5 
5 
3 
13 




Transcripts: 
pages per cose 


76 

77 

78 

76-78 


135.8 
813.2 
227.0 
452.0 


39 
142 
227 

39 


327 
2832 

227 
2832 














2 



2 


2 

1 


3 


1 

4 
1 
6 


5 

5 

1 

II 




Briefs; 

poges per case 


76 

77 

78 

76-78 


76.0 
182.6 
180.0 
133.9 


34 
23 
ISO 
23 


130 
340 
180 
340 














2 

1 


3 


3 
2 

1 
6 



2 

2 


5 
5 
1 

II 




Exhibits; 
pages per cose 


76 

77 

78 

76-78 


207.8 
875.0 
195.0 
473.4 



133 

195 



739 

1923 

195 

1923 


1 




1 








1 




1 


2 

1 
1 
4 


1 

3 

4 


5 

4 

1 

10 




Contested 
motions: 
number per case 


76 

77 

78 

76-78 


6.2 
3.5 
1.0 
4.3 



2 

1 



15 
5 
1 

15 


2 
1 

2 
5 


2 
3 

5 


1 




1 














5 

4 

2 

II 




Written opinions 
by ALJ: 
pages per cose 


76 

77 

78 

76-78 


27.0 
67.6 
10.3 
36.7 


14 
20 

4 
4 


49 

no 

15 

110 










2 
2 


5 
1 

2 
8 



4 

4 









5 
5 
4 
14 



Procedures — 

The prehearing stage begins when the staff determines 
that a complaint (filed either by the Board or by a third 
party) is worthy of investigation. If, during the investigatory 
stage, the case is not dismissed or settled, the Boara, 
pursuant to a staff recommendation, issues notice of 
hearing. Only those cases for which the Board ordered a 
hearing ore reflected in these statistics. 



88 



COMMODITY FUTURES TRADING COMMISSION 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Case Type 



Enforcement 

I7CFR 10 

Enforcement includes the following types of formal 
proceedings: 

Denial, suspension or revocation of registration as a futures 
commission merchant, floor broker, commodity pool operator, 
or commodity trading advisor, 7 USC 6n(6), 9, I2a(2), I2a(3). 

Denial, suspension or revocation of registration of 
designation of a contract market, 7 USC 8. 

Issuance of cease and desist orders, 7 USC 1 3a, 1 3b. 

Denial of trading privileges, 7 USC 9. 

Assessment of civil penalties, 7 USC 9, 13a. 



Coses 
Pending at 
FY Start of FY 



New Cases 

Referred to 

Office of ALJs 



Cases Cases 

Terminated Pending at 
by Agency End of FY 



ALJ Level 
(75) 



76 





21 


2 


19 


77 


19 


22 


10 


31 


78 


31 


67 


7 


91 



76-78 



Commission Level 



no 



(75) 




— 


— 




76 





6* 


6* ■ 





77 





9 


2 


7 


78 


7 


4 


4 


7 



76-78 19 12 

initial decisions transferred from the Department of Agriculture. 



Reparations 

7 USC 18 
1 7 CFR 1 2 

In these proceedings, anyone complaining of a violation of 
the Act. or any CFTC regulation by a person required to be 
registered with the Commission, may apply to the Commission 
for an award of money damages against such person. If the 
Commission decides that the facts warrant, it may institute a 
formal adjudicatory hearing and notify the respondent of a 
right to a hearing. Formal adjudicatory hearings are required 
by statute where the amount in controversy exceeds $5000 
(prior to October 1978, the amount was $2500). In cases where 
a lesser amount is at issue, a summary procedure is utilized, 
normally without participation by an ALJ. 



ALJ Level 



(75) 




~ 


- 




76 





16 





16 


77 


16 


270 


84 


202 


78 


202 


269 


184 


287 



76-78 



Commission Level 



555 



268 



(75) 




— 


~ 




76 














77 





21 


1 


20 


78 


20 


20 


II 


29 



76-78 



41 



12 



Note: 

The Commodity Futures Trading Commission (CFTC) began operation in April 1975. In October 1975, cases pending 
at the Department of Agriculture involving disciplinary proceedings under the Commodity Exchange Act were 
transferred to the CFTC. The amended Act also gave the Commission additional authority to regulate the 
Commodities industry. (The data on ALJ activity were obtained from the office of the Chief ALJ. The data on 
Commission activity were obtained from the CFTC Annual Reports, 1 976— 1 978.) 



89 



CONSUMER PRODUCT SAFETY COMMISSION 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Cose Type 



FY 



Cases 
Pending at 
Start of FY 



New Coses 

Referred to 

Office of ALJs 



Cases Cases 

Terminated Pending at 
by Agency End of FY 



Consumer Product Safety Act 
Rulemaking 

1 5 use 2058 
I6CFR 1105 

Informal rulemaking proceedings (with oral presentations) to 
promulgate consumer product safety rules (including, the 
banning of hazardous products) proposed by the Commission or 
through the Commission's offeror process. 



(75) 




1 







76 


1 





1 





77 














78 















76-78 



Consumer Product Safety Act & Flammable Fabric Act 

Enforcement 

15 use I 192, 1 197(b); 206Mc), (d), (f); 2066(b) 
I6CFR 1025 

Proceedings to order sanctions against respondent for 
knowingly acting in violation of either Act or safety standards 
promulgated under the CPSA. Sanctions under the FFA include 
cease and desist orders; under CPSA sanctions may include 
recall, refund, repair, and, if in conjunction with another 
sanction (16 CFR 1026), civil penalties. 



(75) 




2 







76 


3 


23 


13 


13 


77 


13 


7 


8 


12 


78 


12 


4 


9 


7 



76-78 



34 



30 



90 



Agency: CONSUMER PRODUCT SAFETY COMMISSION 

Case type: Consumer Product Safety Act 
Rulemaking 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Nunfiber: 10 1 



MANNER OF TERMINATION (number of coses) 

Not on Merits— 76 77 78 

Settlement 
Wittidrawai 
Dismissal 
Ottier 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



















































1 








1 



























AGENCY REVIEW (number of cases) 

Review- 76 77 78 76-78 



Yes: 
No; 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 







ELAPSED TIME DATA 


























Case 




Elapsed Time (days) 


Distribution of Coses by Elapsed Time (coses) 


N 


Stage of Case 


Breakdowi 


n FY 
76 


Avg 

422.0 


Min 

422 


Max 

422 


0-lmo 


l-4mo 


4-1 2mo 


l-2yr 

1 


2yr+ 




(cases) 


Prehearing 


All 











1 




Cases 


77 


— 


_ 


— 
























78 


_ 


— 


_ 
























76-78 


422.0 


422 


422 











1 





1 


Hearing 


With ALJ 


76 


272.0 


272 


272 








1 








1 




Hearing on 77 


~ 


~ 


— 






















Merits 


78 

































76-78 


272.0 


272 


272 








1 








1 




All 


76 


„ 


_ 


_ 






















Other 


77 































Cases 


78 

































76-78 


~ 


- 


- 




















Posthearing 


With 


76 


330.0 


330 


330 








1 








1 




Agency 


77 


-_ 


~ 


~ 






















Review 


78 

































76-78 


330.0 


330 


330 








1 








1 




All 


76 


„ 


„ 


„ 






















Other 


77 































Cases 


78 

































76-78 


- 


~ 


- 




















Total Time 


With 


76 


1024.0 


1024 


1024 














1 


1 




Agency 


77 


— 


— 

























Review 


78 

































76-78 


1024.0 


1024 


1024 














1 


1 




All 


76 


_. 


„ 


„ 






















Other 


77 


„ 




























Cases 


78 

































76-78 


~ 


— 


— 





















9! 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



FY 



Time/Effort (days, pages, etc.) 



Coses with full or partial hearing— 

FYs 76 77 78 76-78 

Number: 10 I 

Distribution of Coses by Time/Effort Item N 



Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearing: 
separate 
doys per cose 


76 

77 

78 

76-78 




ALJ prehearing 
and hearing: 
hours per case 


76 

77 

78 

76-78 




ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 



Parties Petitioners, respon- 76 

dents, intervenors 77 

(including agency): 78 

number per case 76-78 

Paf)erwork Evidentiary doco- 76 

ments (excluding 77 

briefs): 78 

number per cose 76-78 



by ALJ: 77 

poges per case 78 

76-78 



Avg 



13.0 



Min 



13 



Max 



13 



13.0 


13 


13 


70.0 


70 


70 


70.0 


70 


70 


16.0 


16 


16 


16.0 


16 


16 


26.0 


26 


26 


26.0 


26 


26 


100.0 


100 


100 



Transcripts; 
pages per case 


76 

77 

78 

76-78 


2900.0 
2900.0 


2900 
2900 


2900 
2900 


Briefs: 


76 


lopo.o 


1000 


1000 


pages per case 


77 

78 

76-78 


looo'o 


ioo"o 


1000 


Exhibits: 


76 


2000.0 


2000 


2000 


pages per case 


77 

78 

76-78 


2000.0 


2000 


2000 


Contested 
motions: 
number per case 


76 

77 

78 

76-78 


5.0 
5.0 


5 
5 


5 
5 


Written opinions 


76 


77.0 


77 


77 



77.0 77 



77 



0-2 


3-9 


10-59 


60-199 


200+days, etc. 


(coses) 








1 








1 












































1 








1 











1 





1 















































1 





1 








1 








1 












































1 








1 








1 








1 












































1 








1 











1 





1 















































1 





1 














1 


1 


















































1 


1 














1 


1 


















































1 


1 














1 


1 


















































1 


1 





1 











1 









































1 











1 











1 





1 















































1 





1 



Procedures — 

When □ proposed rule is published in the Federal Register, 
the notice will specify either that an oral proceeding will be 
held or that one will be held if reauested. If a hearing is held, 
the presiding officer will chair the proceedings and have all 
the powers necessary to contribute to the equitable and 
efficient conduct of tne proceeding. 



92 



Agency: CONSUMER PRODUCT SAFETY COMMISSION 

Case type: Consumer Product Safety Act & 
Flammoble Fabric Act 
Enforcement 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: 13 8 9 30 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 






6 


3 








1 




















3 


2 


4 

















1 



76-78 

19 
I 






AGENCY REVIEW (number of coses) 



Review- 
Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 77 



2 
11 



78 76-78 



9 
21 



ELAPSED TIME DATA 
Stage of Case 


Case 
Breakdown FY 


Elapsed Time 
Avg Min 


(days) 
Max 


Distribution of Cases by Elapsed Time (cases) 
0-lmo l-4mo 4-l2mo l-2yr 2yr+ 


N 
(cases) 


Prehearing Complaint / 

Referral to CALJ 


All 
Cases 


76 

77 

78 

76-78 


64.5 

29.6 

524.7 

193.3 






35 




453 
168 
791 
791 


10 
6 


16 


1 

1 
1 

3 


1 
1 


2 


1 


5 
6 




3 
3 


13 
8 
9 

30 


Hearing Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


280.7 
169.0 
316.3 
271.7 


194 
104 
260 
104 


448 
234 
393 

448 









1 


1 


2 

1 

3 
6 


I 


1 
2 








3 
2 

4 
9 




All 

Other 

Cases 


76 

77 

78 

76-78 


II 1.4 
324.8 
257.8 
207.2 


52 

264 

90 

52 


188 
386 
621 
621 








8 


1 
9 


2 

4 

3 
9 



2 

1 
3 








10 
6 
5 

21 


Posthearing ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


131.0 
328.5 
538.8 
401.4 


129 
205 
313 
129 


133 
452 
763 

763 















2 

1 
1 
4 



1 

3 
4 




1 

1 


2 
2 

5 
9 




All 

Other 

Cases 


76 

77 

78 

76-78 


20.6 



46.5 

19.6 








37 



131 

131 


8 

6 

2 

16 


2 

1 
3 


1 


1 
2 














II 
6 
4 

21 


total Time Complaint / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


726.0 

615.0 

1494.4 

1128.2 


676 

376 

1364 

376 


776 
854 
1649 
1649 




















1 
1 


2 


1 

1 

5 

7 


2 
2 

5 
9 


i 


All 

Other 

Cases 


76 

77 

78 

76-78 


183.9 
325.2 
673.0 
317.4 


65 
266 
227 

65 


482 

386 

1004 

1004 








1 


1 




1 


9 
4 

1 
14 


1 

2 
1 

4 




2 
2 


11 
6 
4 

21 



TIME AND EFFORT AT THE HEARJNG STAGE 



Item 



Time/Effort (doys, pages, etc.) 
FY Avg Min Max 



Cases with full or partial hearing— 

FYt 76 77 78 7^78 

Number: 2 2 5 9 

Distribution of Coses by Time/Effort Item 



93 



N 



0-2 3-9 10-59 60-199 2Wtdays, etc, (coses) 



Prehearing ALJ prehearing 
& Hearing and hearing: 
Time separate 

days per case 

ALJ prehearing 
and hearing: 
hours per case 



ALJ Travel; 
hours per case 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Parties Petitioners, respoo- 76 

dents, intervenors 77 

(including ogerK:y)f 78 

number per cose 76-78 

Paperwork Evidentiary docu- 76 

ments (excluding 77 

briefs): 78 

number per cose 76-78 



Transcripts: 


76 


pages per case 


77 




78 




76-78 


Briefs: 


76 


pages per case 


77 




78 




76-78 


Exhibits: 


76 


pages per case 


77 




78 




76-78 


Contested 


76 


motions: 


77 


number per cose 


78 




76-78 


Written opinions 


76 


by ALJ: 


77 


poges per case 


78 




76-78 



1.4 
2.0 
6.0 
2.6 

4.4 

8.5 

24.8 

■ 10.4 

5.0 
5.0 
8.0 
6.3 

4.4 
2.0 
2.0 
3.5 

25.5 

12.0 

'90.0 

,54.4 

102.8 
224.0 
787.0 
315.6 

86.0 

38.0 

134.5 

98.3 

67.3 

22.5 

294.8 

178.3 

1,0 



3.8 

2.5 

55.5 
30.0 
32.5 
37.6 



2 

4 

14 

2 


5 
2 



2 
2 



22 
12 
15 
12 

30 

70 

398 

30 

53 
31 
53 
31 

5 






2 


26 
28 
23 
23 



18 
13 
46 
46 

10 
5 
10 
10 

6 
2 
3 
6 

29 

12 

264 

264 

378 

378 

1514 

1514 

119 

45 

268 

268 

110 

45 

792 

792 

2 

5 
5 

85 
32 
41 
85 




10 

6 


6 

I 




5 
2 
3 

10 


















1 



1 




























10 
2 
4 

16 

9 
2 

4 
15 

3 
2 
4 
9 

10 
2 
4 

16 

2 
2 

4 
8 

8 

2 

4 

14 

2 

2 
4 
8 

3 
2 
4 
8 



Procedures — 

The proceeding is commenced by the issuance of a 
complaint by the Commission, A respondent has 20 da;^s in 
which to file on answer. The ALJ will file an initial decision 
which will become the decision of the Commission in forty 
days unless review is ordered. Any party may appeal a 



decision to the Commission by filing a notice of intention to 
appeal within ten days after the initial decision. The 
Commission may also review the decision upon its own 
motion. 



95 



DRUG ENFORCEMENT ADMINISTRATION, Department of Justice 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Case Type 



FY 



Cases New Cases Cases Cases 

Pending at Referred to Terminated Pending at 
Start of FY Of f ice of ALJs by Agency End of FY 



Controlled Substances Act 
Registration 

2 1 use 823, 824 
21 CFR 1301, 1316 

Proceedings in which (I) an applicant for registration to 
manufacture or distribute a controlled substance may 
challenge a denial of the application, or (2) a registrant may 
challenge a revocation or suspension of the registration. 

(In the first quarter of 1976 combined data were submitted 
for Registration and Importation Permit cases. Therefore, the 
1 976 figures for each of the two case types are 
approximations.) 



(75) 




N/A 


N/A 




76 


10 


52 


33 


29 


77 


29 


34 


44 


19 


78 


19 


29 


39 


9 



76-78 



115 



16 



Controlled Substances Act 
Importation Permits 

21 use 952 
21 CFR 1312 

Proceedings in which (I) an applicant for a permit to import 
a controlled substance may challenge a denial of the 
application, or (2) a holder of a permit may challenge a 
revocation or suspension of the permit. 

(In the first quarter of 1976 combined data were submitted 
for Registration and Importation Permit cases. Therefore, the 
1976 figures for each of the two case types are 
approximations.) 



(75) 




N/A 


N/A 




76 


5 


1 


6 





77 














78 





2 





2 



76-78 



Controlled Substances Act 
ProdiKrtion Quotas 

2 1 use 826 
21 CFR 1303 

Hearings on challenges to issuance, adjustment, suspension 
or denial of production quotas. 



(75) 




N/A 


N/A 




76 


1 





1 





77 





1 





1 


78 


1 





1 






76-78 



Controlled Substances Act 
Rulemaking 

2 1 use 82 1 

Hearings to evaluate a proposed addition to a regulation. 



(75) 




N/A 


N/A 




76 





' 








77 


1 





1 





78 















76-78 



96 



Agency: DRUG ENFORCEMENT ADMINISTRATION (Department of Justice) 

Case type: Controlled Substances Act 
Registration 



Case-Closed Cords Submitted — 

FY: 76 77 78 76-78 

Number: 33 hi* 41 118 



MANNER OF TERMINATION (number of coses) 

Not on Merits— 76 77 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



78 



76-78 






2 


7 


9 


13 


22 


5 


40 


8 


3 


12 


23 


2 








2 


10 


16 


15 


41 

















1 


2 


3 



AGENCY REVIEW (number of cases) 



Review — 


76 


77 


78 


76-78 


Yes: 
No: 


10 
23 


18 
26 


20 
21 


48 
70 


Result- 










Affirm 
Reverse 
Modify 
RemOTid/Other 


8 
1 


1 


16 


1 
1 


18 
1 


1 


42 
2 

1 
3 



ELAPSED TIME DATA 




























Cose 




Elapsed Time 


(days) 


Distribution of Cases by Elapsed Time (cases) 


N 


Stage of Cos 


e 

Issuance of show 


Breakdow 


1 FY 
76 


Avg 

33.3 


Min 




Max 

113 


0-lmo 


l-4mo 


A-l2mo 


l-2yr 




2yr+ 




(cases) 


Prehearing 


All 


16 


17 





33 




cause order / 


Cases 


77 


30.7 


13 


78 


22 


22 











44 




Referral to CALJ 




78 


27.8 


9 


63 


23 


18 











41 








76-78 


30.4 





113 


61 


57 











118 


Hearing 


Referral to CALJ / 


With ALJ 


76 


251.8 


143 


382 








9 


1 





10 




ALJ's 


Hearing on 77 


263.8 


188 


356 








16 








!6 




recommended 


Merits 


78 


228.6 


137 


345 








15 








15 




decision or order 




76-78 


248.0 


137 


382 








40 


1 





41 






All 


76 


153.7 


38 


553 





14 


7 


2 





23 






Other 


77 


162.6 


26 


524 


2 


14 


9 


3 





28 






Cases 


78 


110.5 


34 


270 





17 


9 








26 








76-78 


142.4 


26 


553 


2 


45 


25 


5 





77 


Post hearing 


ALJ's decision or 


With 


76 


37.0 


18 


60 


2 


8 











10 




order / Final 


Agency 


77 


36.7 


12 


122 


11 


6 


1 








18 




agency action 


Review 


78 


55.7 


10 


307 


10 


9 


1- 








20 








76-78 


44.6 


10 


307 


23 


23 


2 








48 






All 


76 


1.8 





36 


22 


1 











23 






Other 


77 


1.0 





25 


26 














26 






Cases 


78 


7.2 





42 


19 


2 











21 








76-78 


3.1 





42 


67 


3 











70 


Total Time 


Show cause order / 


With 


76 


319.2 


231 


443 








8 


2 





10 




Final agency 


Agency 


77 


332.6 


155 


544 








12 


6 





18 




action 


Review 


78 


282.1 


117 


634 





1 


15 


4 





20 








76-78 


308.7 


117 


634 





1 


35 


12 





48 






All 


76 


190.1 


53 


587 





10 


9 


4 





23 






Other 


77 


185.6 


61 


553 





II 


10 


5 





26 






Cases 


78 


146.0 


63 


315 





9 


12 








21 








76-78 


175.2 


53 


587 





30 


31 


9 





70 



97 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



FY 



TIme/EfiFort (days, pages, etc.) 



Avg 



Min 



Max 



Cases with full or partial hearing— 

FY: 76 77 78 76-78 

Number: 13 20 17 50 

Distribution of Coses by Time/Effort Item N 

0-2 3-9 10-59 60-199 200+days, etc. (coses) 



Preheoring Al I prehearing 

& Hearing and hearing: 
Time separate 

days per cose 

ALJ prehearing 
and hearing: 
hours per case 



ALJ Travel: 
hours per case 



Parties 



Paperwork 



76 

77 

78 

76-78 

76 
77 
78 

76-78 

76 

77 

78 

76-78 



Petitioners, respon- 76 

dents, interveners 77 

(including agency): 78 

number per case 76-78 

Evidentiary docu- 76 

ments (excluding 77 

briefs): 78 

number per case 76-78 



Transcripts: 


76 


pages per case 


77 
78 




76-78 


Briefs: 


76 


pages per case 


77 
78 




76-78 


Exhibilfs: 


76 


pages per cose 


77 
78 




76-78 


Contested 


76 


motions: 


77 


number per cose 


78 




76-78 


Written opinions 

by ALJ: 


76 
77 


pages per case 


78 
76-78 



2.2 
2.1 
2.4 
2.2 

8.2 

5.2 

7.1 

: 6.6 

:io.4 

9.8 

6.5 

, 8.5 

. 1.9 
2.0 

. 2.0 
2.0 

29.0 
19.7 
27.0 
24.6 

251.0 
125.7 
220.8 
191.8 

40.0 
23,0 
30.3 
30.0 

95.4 

43.0 

253.8 

184.6 

1.4 



1.4 

17.7 
12.5 
18.2 
15.7 



16 
5 
8 
5 

12 
4 



8 
II 

7 
7 

34 
36 
14 
14 



5 
3 
6 
6 

20 
10 
20 
20 

26 
20 
15 
26 

2 
2 
2 
2 

49 
44 
62 
62 

923 
260 
668 
923 

107 
55 
68 

107 

290 

50 

810 

810 



46 
25 
32 
46 



9 
16 
10 
35 

3 
2 
3 



I 


3 

4 

14 
20 
18 
52 





















5 


5 


2 

2 



5 

4 

7 

16 

8 
17 

7 
32 

4 
7 








13 
18 
15 

46 

3 
2 
2 

7 

7 
15 
13 
35 

5 
2 
6 
13 






8 
II 
15 
34 




























5 
12 

7 
24 

2 

2 
4 

4 

3 
7 







































6 

5 

7 

18 






I 


8 
9 













14 
20 
17 
51 

14 
20 
17 
51 



15 
34 

14 
20 
18 
52 

13 
20 
17 
50 

14 
20 
17 
5! 

10 
15 

16 
4! 

10 

2 

17 

29 

5 


5 

10 
19 
16 
45 



Procedures — 

The prehearing stage begins with the issuance of an order 
to show cause why a registration should not be revoked or an 
application denied. A hearing will be held if a timely request 
is made by the applicant or registrant. A registration may, 
however, be suspended pending a final order where the 
Administrator finds that there Is an imminent danger to the 
public heolth or safety. 

Prehearing conferences may be held. At the close of the 
hearing any party may file proposed findings within a time 



specified by the ALJ. A time will also be set for submission 
of proposed corrections to the transcript. After corrections 
hove been made, the ALJ will prepare a recommended 
decision including findings of fact and conclusions of law. He 
will certify the record (including his recommended decision) 
to the Administrator for review. 

The Administrator will publish a final order in the Federal 
Register "as soon as practicable". 



98 



Agency: DRUG ENFORCEMENT ADMINISTRATION (Department of Justice) 

Case type: Controlled Substances Act 
Importation Permits 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 3 10 4 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 












3 





























i 
























76-78 


3 





AGENCY REVIEW (number of cases) 



Review- 
Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 77 78 76-78 



ELAPSED TIME DATA 




























Case 




Elapsed Time (days) 


Distribution of Cases by Elapsed Time (cases) 


N 


Stage of Cos 


e 

Request for 


Breakdow 


n FY 
76 


Avg 




Min 




Max 




0-lmo 


l-Amo 


A-l2mo 


l-2yr 




2yr+ 




(cases) 


Prehearing 


All 


3 








3 




hearing / Referral 


Cases 


77 


31.0 


31 


31 





1 











1 




to CALJ 




78 



































76-78 


7.8 





31 


3 


1 











h 


Hearing 


Referral to CALJ / 


With ALJ 


76 














• 
















ALJ's 


Hearing on 77 


323.0 


323 


323 








1 








1 




recommended 


Merits 


78 


— 





_ 






















decision or order 




76-78 


323.0 


323 


323 








1 








1 






All 


76 


158.3 


118 


183 





1 


2 








3 






Other 


77 





— 


_ 
























Cases 


78 


_ 


_ 


_ 


























76-78 


158.3 


118 


183 





1 


2 








3 


Posthearing 


ALJ's decision or 


With 


76 































order / Final 


Agency 


77 


32.0 


32 


32 





1 











1 




agency action 


Review 


78 



































76-78 


32.0 


32 


32 





1 











1 






All 


76 











3 














3 






Other 


77 

































Cases 


78 



































76-78 











3 














3 


Total Time 


Request for 


With 


76 


__ 




























j-iearing / Final 


Agency 


77 


386.0 


386 


386 











1 





1 




agency action 


Review 


78 


-- 


— 


_ 


























76-78 


386.0 


386 


386 











1 





1 






All 


76 


158.3 


118 


183 





1 


2 








3 






Other 


77 


_ 





_ 
























Cases 


78 


_ 





_ 


























76-78 


158.3 


118 


183 





1 


2 








3 



99 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing — 

FY: 76 77 78 76-78 

Number: 110 2 

Time/Effort (days, pages, etc.) Distribution of Cases by Time/Effort Item 



N 





Item 


FY 


Avg 


Min 


Max 


0-2 


3-9 


10-59 


60-199 


200Hkiys, etc. 


(cases) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearing: 
separate 
days per case 


76 

77 

78 

76-78 


1.3 

2.0 

1.5 


1 
2 

1 


2 
2 

2 


3 

1 


4 


























3 

1 


4 




ALJ prehearing 
tffid hearings 
hours per cose 


76 

77 

78 

76-78 


4.0 
6.0 

^4.5 


2 
6 

2 


6 
6 

6 


1 




1 


2 

1 


3 





















3 

1 


4 




ALJ Travels 
hours per case 


76 

77 

78 

76-78 


~ 


- 


■~~ 







































Parties 


Petitioners, respon- 
dents, interveners 
(including agency): 
number per case 


76 

77 

78 

76-78 


2.0 
2.0 

2.0 


2 
2 

2 


2 
2 

2 


3 

1 


4 



























3 

1 


4 


Paperworl< 


Evidentiary docu- 
ments (excluding 
briefs): 
number per cose 


76 

77 

78 

76-78 


II.O 
II. 


II 
II 


II 
11 
















1 



1 
















1 


1 




Transcripts: 
pages per case 


76 

77 

78 

76-78 


117.7 
131.0 

121.0 


80 
131 

80 


164 
131 

164 





















3 

1 


4 








3 

1 


4 




Briefs: 
pcEges per cose 


76 

77 

78 

76-78 


7.0 

7.0 


7 

7 


7 
7 











1 



1 






















1 


1 




Exhibits: 
pages per case 


76 

77 

78 

76-78 


55.0 
55.0 


55 
55 


55 
55 
















1 



1 
















1 



1 




Contested 
motions: 
number per cose 


76 

77 

78 

76-78 


; ~ 


~ 


~* 










































Written opinions 
by ALJ: 
pages per case 


76 

77 

78 

76-78 


8.0 
8.0 


8 
8 


8 
8 










1 



1 






















I 



1 



Procedures — 

Before denial of any application or revocation of any 
permit, a hearing will be held if a timely request is made by 
the applicant or registrant. A permit may^ however, be 
suspended pending a final order where the Administrator finds 
that there is an imminent danger to the public health or 
safety. 

Prehearing conferences may be held. At the close of the 
hearing any party may file proposed findings within a time 



specified by the ALJ. A time will also be set for submission 
of proposed corrections to the transcript. After corrections 
have been made, the ALJ will prepare a recommended 
decision including findings of fact and conclusions of law. He 
will certify the record (including his recommended decision) 
to the Administrator for review. 

The Administrator will publish a final order in the Federal 
Register "as soon as practicable". 



100 



Agency: DRUG ENFORCEMENT ADMINISTRATION (Department of Justice) 

Cose type: Controlled Substances Act 
Production Quotas 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 10 1 2 



MANNER OF TERMINATION (number of coses) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 
































1 








1 





















76-78 








AGENCY REVIEW (number of cases) 



Review- 


76 


77 


78 


Yes: 
No: 


1 







1 



Result- 








Affirm 
Reverse 
Modify 
Remand/Other 


1 












1 







76-78 

2 





ELAPSED T 


ME DATA 

e 

Request for 
hearing / Referral 
to CALJ 


Case 
Breakdowi 


1 FY 
76 

rr 

78 
76-78 


Elapsed Time (days) 
Avg Min Max 

3.0 3 3 

49.0 49 49 
26.0 3 49 


Distribution 


of Coses by Elapsed Ti 


me (cases) 


N 


Stage of Cos 


O-lmo 


-Amo 


l-IZmo 


l-2yr 








2yr+ 







(cases) 


Prehearing 


All 
Cases 


1 




1 





1 

1 








1 


1 

2 


Hearing 


Referral to CALJ / 
ALJ's 

recommended 
decision or order 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


68.0 

179.0 
123.5 


68 

179 
68 


68 

179 

179 









1 




1 





1 
1 














1 


1 
2 






All 

Other 

Cases 


76 

77 

78 

76-78 


- 


- 


- 






































Post hearing 


ALJ's decision or 
order / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


36.0 

61.0 
48.5 


36 

61 
36 


36 

61 
61 








1 



1 

2 




















1 


1 

2 






All 

Other 

Coses 


76 

77 

78 

76-78 


- 


- 


- 







































Total Time 


Request for 
hearing / Final 
Agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


107.0 

289.0 
198.0 


107 

289 
107 


107 

289 
289 









1 





1 





1 
1 














1 


1 

2 






All 

Other 

Cases 


76 

77 

78 

76-78 


■ - 


- 


- 








































lOD 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or partial hearing- 



Item 



Prehearing ALJ prehearing 
& Hearing and hearings 
Time separate 

days per cxise 



Parties 



Papeirworl< 



ALJ prehearing 

and hearings 
hours per cose 



ALJ Travels 
hours per cose 



FY 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



PetitiojierSj respon- 76 

dents, interveners 77 

(including <jgency)s 78 

number per cose 76-78 

Evidentiary docu- 76 

ments (excluding 77 

briefs): 78 

number per cose 76-78 



Transcriptss 
pages per cose 



Briefs: 

pKiges per cose 



Exhibits; 
pages per cose 



Contested 
motionss 
number per cose 



Written opinions 
by ALJs 
FKiges per case 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Time/Effort (days, [joges, etc.) 



Avg 



7.0 



Min 



Max 



II.O 
9.0 


II 

7 


II 
II 


28.0 


28 


28 


ftS.O 
36.5 


45 
28 


45 
45 



4.0 



2,0 


2 


2 


3.0 


2 


4 


40.0 


40 


40 


115.0 


115 


115 


77.5 


40 


115 


770.0 


770 


770 


113.0 


1113 


1113 


941.5 


770 


1113 


105.0 


105 


105 


212.0 


212 


212 


158.5 


105 


212 


95.0 


95 


95 


003.0 


1003 


1003 


549.0 


95 


1003 



13.0 

42.0 
27.5 



13 

42 
13 



13 

42 
42 



FY: 




76 




77 


78 76-78 




Numbers 




1 









1 2 




Distribut 


on of Cases by 1 


ime 


/Effort Item 


N 


0-2 3-9 


10-59 


60-199 


200+days, etc. 


(cases) 





1 















1 
































1 










I 





1 




1 










2 










1 










1 
































1 










1 










2 










2 





























































































1 















1 
























1 


















1 


I 


1 















2 










1 










1 





































1 





1 










1 




1 





2 


















1 


1 








































1 


1 


















2 


2 















1 





1 








































I 


1 















1 


1 


2 















1 





1 








































1 


1 















1 


1 


2 


































































































1 










1 
































1 










1 










2 










2 



Procedures — 

An applicant or registrant will be granted a hearing if one 
is requested within 30 days after receipt of | the Issuance, 
adjustment, suspension, or denial of a quota. The 
Administrator may initiate a hearing to gather information. 
Any interested person may request a hearing on the 
determination of an aggregate production quota. 

Prehearing conferences may be held. At the close of the 
hearing any party may file proposed findings within a time 



specified by the ALJ. A time will also be set for submission 
of proposed corrections to the transcript. After corrections 
have been made, the ALJ will prepare a recommended 
decision including findings of fact and conclusions of law. He 
will certify the record (including his recommended decision) 
to the Administrator for review. 

The Administrator will publish a final order in the Federal 
Register "as soon as practicable". 



102 



Agency: DRUG ENFORCEMENT ADMINISTRATION (Department of Justice) 

Case type; Controlled Substances Act 
Rulemaking 



Case-Closed Cords Submitted— 

FY: 76 77 78 

Number: I 



76-78 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 










































1 
























76-78 








AGENCY REVIEW (number of cases) 
Review— 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76-78 



ELAPSED TIME DATA 



Notes — 

*" No data are available for the prehearing stage, which 
presumably begins with publication of the proposed change of 
regulation in the Federal Register. 





Case 
Breakdown FY 


tIapsetJ 


Time 


[days) 


Distribution of Co; 


ses by Elo] 


psedTir 


ne (coses) 


N 


Stage of Case 


Avg 


Min 


Max 


0-lmo 


l-Amo 


/i-l2mo 


l-2yr 


2yr+ 


(coses) 


Prehearing 


All 
Cases ^ 


76 

77 

78 

76-78 


N/A 
N/A 


N/A 
N/A 


N/A 
N/A 
























1 



1 


Hearing Notice of hearing / 
ALJ's 

recommended 
decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


116.0 
116.0 


116 
116 


116 
116 










1 



1 






















1 



1 




All 

Other 

Cases 


76 

77 

78 

76-78 


;: 


: 


E 






































Postheoring ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


51.0 
51.0 


51 
51 


51 
51 










1 



1 























1 



1 




All 

Other 

Cases 


76 

77 

78 

76-78 


\ 


;; 


\ 






































Total Time Notice of hearing / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


167.0 
167.0 


167 
167 


167 
167 
















1 



1 
















1 



1 




All 

Other 

Coses 


76 

77 

78 

76-78 


- 


- 


- 







































103 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing— 

FY: 76 77 78 76-78 

Number: 10 I 



Time/Effort (days, pages, etc.) 





l*em 


FY 

76 

77 

78 

76-78 


Avg 

3.0 
3io 


Min 

3 
3 


Max 


0-2 







3-9 



1 



1 


10-59 


60-199 







200tdays, etc. 







(cases) 


Prehearing 

& Hearing 
Time 


ALJ prehearing 
and hearing; 
separate 
doys per case 


3 
3 










1 



1 




ALJ prehearing 
and hearing; 
hours per cose 


76 

77 

78 

76-78 


18.0 
18.0 


18 
18 


18 
18 

















1 



1 
















1 



1 




ALJ Travel; 
hours per case 


76 

77 

78 

76-78 


: ~ 


~ 


~ 







































Parties 


Petitioners, respon- 
dents, interveners 
(including ogency); 
number per case 


76 

77 

78 

76-78 


20.0 
20.0 


20 
20 


20 
20 
















1 



1 

















1 



1 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs): 
number per cose 


76 

77 

78 

76-78 


75.0 
75.0 


75 
75 


75 
75 






















1 



1 











1 



1 




Transcripts: 
pages per case 


76 

77 

78 

76-78 


407.0 
407.0 


407 
407 


407 

407 




























I 



1 




1 



1 




Briefs: 

pages per case 


76 

77 

78 

76-78 


^ - 


~ 


- 








































Exhibits: 
pages per cose 


76 

77 

78 

76-78 


: 


= 


~ 








































Contested 
motions: 
number per case 


76 

77 

78 

76-78 


I 


;; 


~ 








































Written opinions 
by ALJ: 
pages per cose 


76 

77 

78 

76-78 


48.0 
48.0 


48 
48 


48 
48 
















1 



1 
















1 



1 



Procedures — 

This rulemaking hearing was conducted' before the 
Administrator and an ALJ. The role of thel ALJ was to 
prepare a summary of the testimony and statements 
presented along with a recommended depision. The 
Administrator made the final decision. i 



105 



ENVIRONMENTAL PROTECTION AGENCY 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976—1978 

(and FY 1975 from previous publication) 



Cose Type 



Cases New Cases Coses Coses 

Pending at Referred to Terminated Pending at 
FY Start of FY Office of ALJs by Agency End of FY 



National Pollution Discharge Elimination System 

Permits 
33 use 1 342 
40CFR 124.71 

Proceedings In which any interested person may challenge 
the factual basis for the Regional Administrator's proposed 
issuance, denial, or modification of a permit to discharge 
pollutants into navigable waters. 



(75) 




141 


10 




76 


130 


83 


7 


206 


77 


206 


28 


22 


212 


78 


212 


27 


55 


184 



76-78 



138 



84 



Federal Insecticide, Fungicide and Rodenticide Act 
Civil Penalty, Proceedings 
7 use 1 36 ! (a) 
40 CFR 1 68 

Civil penalty proceedings to determine whether any 
pesticide registrant, commercial applicator, wholesaler, 
dealer, retailer or other distributor of pesticides has violated 
the Act, and if so the amount of penalty to be assessed. 



(75) 




98 


69 




76 


53 


112 


74 


91 


77 


91 


97 


73 


115 


78 


115 


37 


64 


88 



76-78 



246 



211 



Federal Insecticide, Fungicide and Rodenticide Act 
Pesticide Registration Denials, Ccncellalfionis and Suspensions 

7 use 136(a), (d) 
40 CFR 164, 164.120 

Proceedings in which (I) an applicant for registration of a 
pesticide may challenge the Administrator's notice of denial of 
the application or (2) a registrant may challenge the 
Administrator's notice of intent to cancel or change the 
classification because of its adverse effect on the 
environment. Includes expedited proceedings in which a 
pesticide registrant may challenge the Administrator's 
determination that in order to prevent an Imminent health 
hazard, immediate suspension of the registration is warranted. 



(75) 




3 


6 




76 


3 


1 


2 


2 


77 


2 


2 


1 


3 


78 


3 


1 


2 


2 



76-78 



Federal Insecticide, Fungicide and Rodenticide Act 
Applications for Compensation for Use of Test Data 

7 use 1 36a(c)( I )(D) ( 1 976 Supp.) 

Proceedings to determine the amount of compensation to be 
paid to an original pesticide registration applicant by a later 
applicant for the use of test data submitted by the original 
applicant. (Hearings are required only for applications filed 
between October 21, 1972, and September 30, 1978. The law 
was amended in 1978, Pub. L. 95-396, to provide for arbitration 
of these disputes.) i 



(75) 



76 














77 





27 


IS 


12 


78 


12 


12 


10 


14 



76-78 



39 



25 



106 



ENVIRONMENTAL PROTECTION AGENCY (continued) 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Cose Type 



Cases 
Pending at 
FY Start of FY 



New Cases 

Referred to 

Office of ALJs 



Cases Cases 

Terminated Pending at 
by Agency End of FY 



Clean Air Act 
Fuel Additive Enforcement Proceedings 

42USCA 7545 (1979 Supp.) 
40 CFR 80.301 

Hearings available to challenge the assessment of a civil 
penalty for violation of fuel additive regulations. 



(75) 












76 


3 


8 





11 


77 


II 


28 


16 


23 


78 


23 


26 


33 


16 



76-78 



62 



49 



Miscellaneous 



Miscellaneous proceedings involving FIFRA, pollutant 
standards, ocean dumping permits, and non-EPA cases. 



(75) 




- 


- 




76 


N/A 


4 


4 


N/A 


77 


N/A 


1 


1 


N/A 


78 


N/A 


1 


2 


N/A 



76-78 



107 



Ageficys ENVIRONMENTAL PROTECTION AGENCY 

Cose typei National Pollution Discharge Elimination System 
Permits 



Case-Closed Cards Submitted — ° 

FY: 76 77 78 76-78 

Number: 7 22 55 Sk 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 7 16 38 

Withdrawal I I 

Dismissal 3 7 

Other 3 

On Merits— 

ALJ Hearing & Decision 2 6 

ALJ Hearing w/o Decision 

ALJ Decision w/o Hearing 



76-78 

61 
2 

10 
3 



AGENCY REVIEW (number of cases) 



Review — 

Yes: 

No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 77 



78 76-78 



N/A N/A 
7 N/A N/A 



N/A 
N/A 



N/A N/A N/A 

N/A N/A N/A 

N/A N/A N/A 

N/A N/A N/A 



ELAPSED TIME DATA 



Case 



Elapsed Time (days) 



Stage of Cos 


e 

Application / 


Breakdow 


1 FY 

76 


Avg 

666.9 


Min 

145 


Max 


Prehearing 


All 


1209 




Arrival in CALJ's 


Coses 


■77 


N/A 


N/A 


N/A 




office 




■78 


N/A 


N/A 


N/A 








76^78 


N/A 


N/A 


N/A 


Hearing 


Arrival in CALJ's 


With ALJ 


76 













office / ALJ's 


Hearing on 77 


570.0 


502 


638 




initial decision 


Merits 


78 


438.2 


30 


1246 








76.78 


471.3 


30 


1246 






All 


76 


227.9 


107 


373 






Other 


77 


314.7 


30 


1003 






Cases 


78 


574.4 


45 


1383 








76r78 


454.3 


30 


1383 


Post hearing 


ALJ's initial 


With 


76 













decision / Final 


Agency 


77 


N/A 


N/A 


N/A 




agency action 


Review 


78 


N/A 


N/A 


N/A 








76-78 


N/A 


N/A 


N/A 






All 


76 


21.9 


II 


40 






Other 


77 


N/A 


N/A 


N/A 






Cases 


78 


N/A 


N/A 


N/A 








76-78 


N/A 


N/A 


N/A 


Total Time 


Application / Final 


With 


76 













agency action 


Agency 


77 


N/A 


N/A 


N/A 






Review 


78 


N/A 


N/A 


N/A 








76-78 


N/A 


N/A 


N/A 






All 


76 


916.6 


287 


1444 






Other 


77 


N/A 


N/A 


N/A 






Coses 


78 


N/A 


N/A 


N/A 








76-78 


N/A 


N/A 


N/A 



Distribution of Cases by Elapsed Time (cases) |\j 

(coses) 



0-lmo l-4mo 'l-l2nio l-2yr 2yr+ 




























1 
1 




1 

1 



I 
1 


2 
2 

4 



1 

I 





1 


5 


1 





1 


5 


9 


3 


2 





9 


8 


12 


15 


1 


15 


22 


16 


17 



5 2 







2 5 




2 
6 
8 

7 
20 
44 
73 



Notes — 

These proceedings are begun by an application for a 
permit. The Regional Administrator, after a comment 
period, may issue or deny the permit. Within thirty days 
after such determination, any interested person may request 
an evidentiary hearing. ALJs preside and make initial 
decisions which are appealable to the Administrator. In the 
case of applications for permits by new applicants, a panel 
may assist the Al I in hearing the case. 

"The data for FY 1977 and 1978 are based on the ALJs' 
monthly case-status reports, obtained from the Office of the 
Chief ALJ. 



Ids 



Agency: ENVIRONMENTAL PROTECTION AGENCY 

Case type: Federal Insecticide, Fungicide and Rodenticide Act 
Civil Penalty Proceedings 



Case-Closed Cards Submitted— ° 

FY: 76 77 78 76-78 

Number: 75 73 64 212 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ IHearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



1 


52 


54 


117 


6 


8 


1 


15 


1 








1 














5 


II 


8 


24 














2 


2 


1 


5 



AGENCY REVIEW (number of cases) 
Review- 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



6 N/A N/A 
69 N/A N/A 



6 N/A N/A 

N/A N/A 

N/A N/A 

N/A N/A 



76-78 

N/A 
N/A 



N/A 
N/A 
N/A 
N/A 



ELAPSED TIME DATA 



Cose 



Elapsed Time (days) 



Stage of Cos 


e 

Inspection / 
Arrival in CALJ's 
office 


Breakdow 


n FY 

76 

77 

78 

76-78 


Avg 

307.9 
N/A 
N/A 
N/A 


Min 

77 
N/A 
N/A 
N/A 


Max 


Prehearing 


All 
Cases 


961 
N/A 
N/A 
N/A 


Hearing 


Arrival in CALJ's 
office / ALJ's 
initial decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


228.0 
210.0 
167.2 
199.5 


143 
61 
15 
15 


400 
365 
395 
400 






All 

Other 

Coses 


76 

77 

78 

76-78 


88.8 
123.8 
132.5 
II9.9 


2 
15 
31 
15 


259 
395 
350 
395 


Post hearing 


ALJ's initial 
decision / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


93.8 
N/A 
N/A 
N/A 


35 
N/A 
N/A 
N/A 


144 
N/A 
N/A 
N/A 






All 

Other 

Coses 


76 

77 

78 

76-78 


48.5 
N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


260 
N/A 
N/A 
N/A 


Total Time 


Inspection / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


529.3 
N/A 
N/A 
N/A 


381 

N/A 
N/A 
N/A 


776 
N/A 
N/A 
N/A 






All 

Other 

Cases 


76 

77 

78 

76-78 


446.3 
N/A 
N/A 
N/A 


135 

N/A 
N/A 
N/A 


1141 
N/A 
N/A 
N/A 



Distribution of Cases by Elapsed Time (coses) |m 
0-lmo l-4mo 'l-l2mo l-2yr 2yr+ (cases) 







45 



20 



75 









4 


1 





5 





2 


9 








II 


1 


3 


3 


1 





8 


1 


5 


16 


2 





24 


20 


27 


12 








69 


10 


30 


21 


1 





62 


2 


32 


22 








56 


32 


89 


55 


1 





177 



3 3 



29 35 4 68 



5 1 



28 33 8 (>3 



Notes — 

These cases begin when a routine inspection turns up a 
possible violation. If a complaint is issued, the answer must 
be filed within 20 days and a hearing must be requested in the 
answer, if one is desired. Failure to answer results in a 
default judgment (not counted in these statistics). The ALJ 
serves a notice of hearing which will be held in the 
respondent's vicinity. Informal conferences and settlements 
are encouraged, and, if a settlement occurs after referral to 
the CALJ, the agreement is sent directly to the Regional 
Administrator (RA) for his final order. The ALJ may order a 
prehearing conference and may, at any time, issue an 
accelerated decision. 



At the close of the hearing, each party has 20 days after 
the filing of the transcript to serve proposed findings and 
conclusions and a proposed order. Ten days are allowed for 
reply. The ALJ files his decision with the RA, and it becomes 
final unless exceptions are filed by any party within 30 days. 
Ten days are permitted for replies to exceptions. Review 
may also be by the RA's own motion. 

°The data for FY 1977 and 1978 are based on the ALJs' 
monthly case-status reports, obtained from the Office of the 
Chief ALJ. 



109 



Agencys ENVIRONMENTAL PROTECTION AGENCY 

Case type; Federal Insecticide, Fungicide and Rodenticide Act 

Pesticide Registration Denials, Cancellations and Suspensions 



Case-Closed Cards Submitted— ° 

FY: 76 77 78 76-78 

Number: 2 12 5 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 














1 




1 















1 





2 





















76-78 



2 




AGENCY REVIEW (number of cases) 
Review— 76 77 78 



Yes: 

No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



2 N/A N/A 
N/A N/A 



I N/A N/A 

N/A N/A 

1 N/A N/A 
N/A N/A 



76-78 

N/A 
N/A 



N/A 
N/A 
N/A 
N/A 



ELAPSED TIME DATA 



Cose 



Stage of Cos 


e 

Application or 
start of 
investigation / 
Referral to CALJ 


Breakdow 


n FY 

76 

77 

78 

76-78 


Avg 

391.0 
N/A 
N/A 

N/A 


Min 

259 

N/A 
N/A 
N/A 


Max 


Prehearing 


All 
Coses 


523 
N/A 
N/A 
N/A 


Hearing 


Referral to CALJ / 
ALJ's initial 
decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


130.0 

433.5 
332.3 


130 

167 
130 


130 

700 
700 






All 

Other 

Cases 


76 

77 

78 

76-78 


1007.0 
122.0 

564.5 


1007 
122 

122 


1007 
122 

1007 


Postheoring 


ALJ's initial 
decision / Final 
agency action 


With 

AgeiKcy 

Review 


76 

77 

78 

76-78 


23.0 
N/A 
N/A 
N/A 


12 

N/A 
N/A 
N/A 


34 
N/A 
N/A 
N/A 






All 

Other 

Coses 


76 

77 

78 

76-78 


N/A 

N/A 
N/A 


N/A 
N/A 
N/A 


N/A 
N/A 
N/A 


Total Time 


Application or 
investigation / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


982.5 
N/A 
N/A 
N/A 


401 

N/A 
N/A 
N/A 


1564 

N/A 
N/A 
N/A 






All 

Other 

Cases 


76 

77 

78 

76-78 


N/A 

N/A 
N/A 


N/A 
N/A 
N/A 


N/A 
N/A 
N/A 



Elofised Time (days) Distribution of Cases by Elapsed Time (cases) 
0-lmo l-4mo 4-l2mo l-2yr 2yr+ 









1 





























1 


1 











2 


1 

















1 





1 





























1 








1 



N 
(cases) 



Notes — 

If an application is denied, the applicant has 30 days to 
take the specified corrective action or petition for 
withdrawal of the application. If the applicant fails to 
remedy the deficiency of his application,' or if the 
Administrator denies the petition for withdrawal, the 
Administrator publishes a notice of denial in; the Federal 
Register. Within 30 days following publication, the applicant 
or any interested party with the written authorization of the 
applicant may request a hearing. 

A hearing may also be held if the Administrator issues a 
notice of intent to hold a hearing to determine whether or not 
the registration of a pesticide should be canceled or its 



classification changed. When the Administrator does this, 
interested persons may participate in the hearing by filing 
within 30 days. 

Prehearing conferences are usually held. The ALJ is to 
prepare an initial decision within 25 days after the close of 
the hearing. Within 20 days after the ALJ's initial decision or 
dismissal, any party may file exceptions. The Administrator 
has 90 days to issue his final decision. 

° The data for FY 1 977 and 1 978 are based on the AL Js' 
monthly case-status reports, obtained from the Office of the 
Chief ALJ. 



no 



Agency: ENVIRONMENTAL PROTECTION AGENCY 

Cose type: Federal Insecticide, Fungicide and Rodenticide Act 
Applications for Compensation for Use of Test Data 



Case-Closed Cords Submitted — ° 

FY: 76 77 78 76-78 

Number: 15 10 25 



MANNER OF TERMINATION (number of coses) 

Not on Merits- 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Heoring & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 






2 


1 


3 





12 


5 


17 








1 


1 

















1 


3 


4 



























AGENCY REVIEW (number of coses) 
Review— 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



N/A N/A 
N/A N/A 



N/A N/A 

N/A N/A 

N/A N/A 

N/A N/A 



76-78 

N/A 
N/A 



N/A 
N/A 
N/A 
N/A 



ELAPSED TIME DATA 



Stage of Case 



Prehearing 



Hearing 



Post hearing 



Totol Time 



Case 



Elapsed Time (days) Distribution of Coses by Elapsed Time (coses) n 

0-lmo l-'tmo 4-l2mo l-2yr 2yr+ (cases) 



Breakdown FY 


Avg 


Min 


Max 


All 
Coses 


76 

77 

78 

76-78 


N/A 
N/A 
N/A 


N/A 
N/A 
N/A 


N/A 
N/A 
N/A 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


182.0 
233.1 
220.3 


182 
91 
91 


182 
350 
350 


All 

Other 

Coses 


76 

77 

78 

76-78 


67.4 

152.0 

95.6 


15 

15 
15 


182 

410 
410 


With 

Agency 

Review 


76 

77 

78 

76-78 


N/A 
N/A 

N/A 


N/A 
N/A 
N/A 


N/A 
N/A 
N/A 


All 

Other 

Coses 


76 

77 

78 

76-78 


N/A 
N/A 
N/A 


N/A 
N/A 
N/A 


N/A 
N/A 
N/A 


With 

Agency 

Review 


76 

77 

78 

76-78 


N/A 
N/A 
N/A 


N/A 
N/A 
N/A 


N/A 
N/A 
N/A 


All 

Other 

Coses 


76 

77 

78 

76-78 


N/A 
N/A 
N/A 


N/A 
N/A 
N/A 


N/A 

N/A 
N/A 



























1 








1 





1 


2 








3 





1 


3 








4 




















4 


8 


2 








14 


2 


2 


2 


1 





7 


6 


10 


4 


1 





21 



Notes — 

In 1978, the law was amended to provide for arbitration of 
these cases, rather than adjudicative hearings. Thus, these 
hearings will dwindle in future years. 

«■ The data for FY 1 977 and 1 978 are based on the AL Js' 
monthly case-status reports, obtained from the Office of the 
Chief ALJ. 



Ill 



Agency: ENVIRONMENTAL PROTECTION AGENCY 

Case type: Clean Air Act 

Fuel Additive Enforcement Proceedings 



Case-Closed Cords Submitted — ° 

FY: 76 77 78 76-78 

Number: 28 26 54 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 






6 


8 


14 





3 


5 


8 








2 


2 

















7 


18 


25 


■ 
























AGENCY REVIEW (number of cases) 

Review- 76 77 78 76-78 



Yes: 
No: 







N/A 

N/A 


N/A 

N/A 


N/A 
N/A 


Result- 










Affirm 
Reverse 
Modify 
Remand/Other 








N/A 
N/A 
N/A 
N/A 


N/A 
N/A 
N/A 
N/A 


N/A 
N/A 
N/A 
N/A 



ELAPSED TIME DATA 



Stage of Cose 



Prehearing 



Hearing 



Post hearing 



Total Time 



Cose 



Elapsed Time (days) Distribution of Cases by Elapsed Time (coses) |\j 

0-lmo l-4mo •'j-IZmo l-2yr 2yr+ (cases) 



Breakdown FY 


Avg 


Min 


Max 


All 
Cases 


76 

77 

78 

76-78 


N/A 
N/A 
N/A 


N/A 
N/A 
N/A 


N/A 
N/A 
N/A 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


162.8 
153.7 
156.2 


91 
91 

91 


198 
380 
380 


All 

Other 

Cases 


76 

77 

78 

76-78 


113.2 
108.5 
1 1 0.3 


61 

45 
45 


213 
258 
258 


With 

Agency 

Review 


76 

77 

78 

76-78 


N/A 
N/A 
N/A 


N/A 
N/A 
N/A 


N/A 
N/A 
N/A 


All 

Other 

Coses 


76 

77 

78 

76-78 


N/A 
N/A 
N/A 


N/A 
N/A 
N/A 


N/A 
N/A 
N/A 


With 

Agency 

Review 


76 

77 

78 

76-78 


N/A 
N/A 
N/A 


N/A 
N/A 
N/A 


N/A 
N/A 
N/A 


All 

Other 

Coses 


76 

77 

78 

76-78 


N/A 
N/A 
N/A 


N/A 
N/A 
N/A 


N/A 
N/A 
N/A 
























1 


6 








7 





7 


10 


1 





18 





8 


16 


1 





25 























6 


3 








9 





10 


5 








15 





16 


8 








24 



Notes— 

The procedures ore similar to those used for the Federal 
Insecticide, Fungicide and Rodenticide Civil Penalty cases. 

"The data for FY 1977 and 1978 are based on the ALJs' 
monthly case-status reports, obtained from the Office of the 
Chief ALJ. 



112 



FEDERAL COMMUNICATIONS COMMISSION (continued) 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Case Type 



Cases New Cases 

Pending at Referred to 
FY Start of FY Of f ice of ALJs 



Cases Cases 

Terminated Pending at 
by Agency End of FY 



Broadcast 
AM Radio, FM Radio and Television 



Broadcast includes the following types of formal hearings 
required under Title III of the Act: 

Applications for construction permits and station licenses, 

hi use 309(e). These proceedings are held to consider those 
applications for construction permits, station licenses, or 
modifications or renewals thereof, which the Commission has 
designated for hearing because it was unable to find that the 
public interest, convenience and necessity will be served by the 
granting of such application. No application may be denied 
without opportunity for hearing. The Commission is more 
likely to designate an application for hearing if a petition to 
deny is filed under 309(d). If there are competitive applicants 
a comparative hearing must be held. 

Transfers of control, 47 USC 3 1 0(b). These proceedings are 
held to consider those applications for assignment of or 
transfer of control of a permit or license, which the 
■Commission has designated for hearing because it was unable 
to find that the public interest, convenience and necessity will 
be served by the proposed transfer. 

Revocations and cease and desist orders, 47 USC 312(c), 
47 CFR 1.91. In these proceedings a licensee or permittee is 
required to show cause why an order of revocation of the 
license or permit or an order to cease and desist from certain 
activity should not be issued. 

Modifications of licenses and permits, 47 USC 3 1 6, 

47 CFR 1.87. If the Commission determines on its own motion 
that a station license or construction permit should be 
modified, the holder is permitted to show cause in a public 
hearing why such modification should not issue. The 
Commission may also levy civil money penalties (47 USC 503) 
for violations if notice of apparent liability is included in the 
show cause order. 



AM Radio 

47 CFR 1,73.1-73.190 



(75) 




30 


20 




76 


57 


23 


21 


59 


77 


59 


13 


4 


68 


78 


68 


19 


2 


85 



76-78 



FM Radio 

47 CFR I, 73.201-73.599 



55 



76-78 



Television 

47 CFR I, 73.601-73.699 



90 



76-78 



30 



27 



(75) 




49 


40 




76 


49 


30 


47 


32 


77 


32 


33 


II 


54 


78 


54 


27 


10 


71 



68 



(75) 




13 


14 




76 


25 


17 


14 


28 


77 


28 


10 


7 


31 


78 


31 


3 


1 


33 



22 



Coble Television 



47 CFR 1,76 

Cable Television includes hearings of the following two 
types: 

Authorizations of various types, 47 CFR 76.7. When 
required by the Commission, these evidentiary hearings are 
held to consider petitions by a cable television system for 
special relief from any of the provisions in the rules relating to 
such systems. A hearing may also be required when a system's 
application for a certificate of compliance (required to begin 
operations) is opposed. (47 CFR 76.27.) 

Cease and desist orders, 47 USC 3 1 2(b). In these 
proceedings, a licensee or permittee is required to show cause 
why an order to cease and desist from certain activity should 
not be issued. 



(75) 




10 


10 




76 


6 


17 


II 


12 


77 


12 


7 


7 


12 


78 


12 


7 


6 


13 



76-78 



31 



24 



113 



FEDERAL COMMUNICATIONS COMMISSION (continued) 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Case Type 



Coses New Coses Cases Coses 

Pending at Referred to Terminated Pending at 
FY Start of FY Office of ALJs by Agency End of FY 



Common Carrier 
Domestic, Dnteirnational and Satellite 



Common Carrier includes the various wire, radio and 
communications satellite services offered for hire. 
(Communications satellite regulation is pursuant to the 
Communications Satellite Act of 1962.) The following types of 
hearings are included in this case type: 

Applications for licenses and permits, renewals, 
modifications, revocations and cease and desist orders. These 
are hearings involving any Title III cases pertaining to public 
communications by common carriers. (For applications 
involving communications satellites see 47 USC 721(c)(7).) 

Rates and Practices, 47 USC 204. These are proceedings 
initiated by complaint or upon the motion of the Commission 
to consider the lawfulness of any new charge (or practice 
affecting such charge) filed by a carrier. The charge or 
practice may be suspended for up to three months pending the 
outcome of the proceeding. (For applications involving 
communications satellites see 47 USC 721(c)(5).) 

Reparotioins, 47 USC 208. These are proceedings to hear 
complaints by persons claiming to be injured by actions of 
carriers in violation of the Act, and to deterniine whether 
complainants are entitled to damages. 

Extension of focilities, 47 USC 214(d). Whenever a carrier 
seeks a certificate enabling it to extend or abandon services or 
facilities, the Commission, proceeding upon complaint or upon 
its own motion, may after o hearing require the carrier to 
comply with any terms and conditions attached to the 
certificate. (For applications involving communications 
satellites see 47 USC 72 1(c)(3) and (4).) 



Domestic 


Common Carrier 








47 CFR 1 


,21 








(75) 




26* 


14* 




76 


31 


19 


17 


33 


77 


33 


70 


38 


65 


78 


65 


17 


16 


66 



76-78 



106 



InternatioirKil Common Carrier 

47 CFR 1,23 

(75) 



76-78 



Satellite Common Carrier 

47 CFR 1,25 



(75) 



71 



76 





2 





2 


77 


2 








2 


78 


2 








2 



76 





1 


1 


77 





1 





78 


I 









76-78 2 I 

*The three common carrier case types were combined in 1975. 
The combined figures are reported under domestic common carrier. 



Safety and Special Radio 

47 CFR I, 73.601-73.699 

This case type involves primarily two-way radio. Licensees 
include police, fire and public safety radio services, non- 
federal governmental, industry, land transportation services, 
and private citizens. The following types of hearings are 
included; 



(75) 



44 



33 



76 


24 


32 


31 


25 


77 


25 


52 


26 


51 


78 


51 


54 


23 


82 



76-78 



138 



80 



Applications for licenses and permits, renewals, 

modifications, revocations, orvd cease and desist orders. These 
include any Title 111 case pertaining to safety and special 
service radio. 

Suspension of of>erator licenses, 47 USC 303(m). These are 
proceedings in which a holder of any operator license may 
challenge a proposed order of suspension of that license. 
(47 CFR 1 .85.) 



114 



FEDERAL COMMUNICATIONS COMMISSION 



Case cards were submitted by the FCC for FY 1976 
only (excluding the transition quarter). However, other 
information on FCC cases was provided to ACUS by the 



FCC's Management Analysis Branch. (Letter from Jack 
J. Sharkey, Associate Executive Director for 
Information Management, January 28, 1 980,) 



Activities 



Office of Administrative Law Judges 

FY 75 FY 76 FY 77 



FY 78 



ALJs available in FY (avg) 


13.8 


13,4 


13,3 


13,0 


Newly assigned cases 


137 


126 


187 


133 


Initial decisions issued 


52 


60 


64 


78 


Cases otherwise terminated 


61 


85 


102 


56 


Coses pending at end of FY 


129 


110 


131 


130 


Formal hearings held 


99 


72 


53 


63 


Days in hearing 


322 


281 


173 


303 


Conferences held 


267 


220 


231 


179 


Days in conference 


267 


220 


231 


180 


Field hearings held 


28 


42 


29 


47 


Days in field hearings 


78 


183 


143 


95 


Interlocutory orders issued 


2154 


1540 


2047 


1794 



Initial Decisions 



% decisions effective w/o opposition 

Cases affirmed after appeal 

Cases remanded, reversed, modified 



23% 


24% 


17,6% 


26,5% 


6 


II 


9 


17 


4 


6 


8 


7 



Elapsed Time (ovg days) 

Designation for hearing / Decision issued 504 392 572 501 

Dote record closed / Decision issued 122 93 146 150 



* The remainder of each year's decisions were pending at either 
the review board or Commission level at the end of the year. 



115 



Review Board 



The Review Board Is a permanent body with 
continuing functions. It is composed of three or more 
Commission employees who ore designated by the 
Commission, serve indefinitely on a full time basis, and 
ore responsible only to the Commission. 

The main function of the Board is to review matters 
referred to it by the Commission , in hearing 
proceedings. The Review Board regularly reviews initial 
decisions of administrative law judges in all adjudicative 
proceedings (Incuding mixed adjudicative and 



rulemaking proceedings). Excepted from review by the 
Board are proceedings involving the renewal or 
revocation of a station license in the Broadcast Radio 
Services or the Common Carrier Services. The 
Commission may also specify that a decision in any 
proceeding is not to be reviewed by the Board. Other 
hearing matters may be referred to the Board on a case 
by case basis, either at the time of designation for 
hearing or upon consideration of exceptions. 
(47 CFR 0.361, 0.365.) 





No. of 


Average Elapsed Time in d 




decisions 


(filing of 


reply to exceptic 


Period 


issued 

6 


/ issu 


tmce of decision) 


9/I/76-I2/3I/76 


130.0 


1/1/77-3/3 1/77 : 


6 




141.0 


5/1/77-8/31/77 


7 




114.0 


9/1/77-12/31/77 


N/A 




N/A 


1/1/78-4/30/78 


7 




82.8 


5/ 1/78-8/3 1/78 


9 




91.6 


9/1/78-12/31/78 


8 




97.1 



Office of Opinions and Review 



The Office of Opinions and Review is composed of 
legal, engineering, accounting, and other personnel. It 
assists and makes recommendations to the Commission, 
and to individual commissioners designated to review 
initial decisions, in the disposition of matters arising in 
cases of adjudication which have been designated for 
hearing. (47 CFR 0.171, 0.371.) 



Other miscellaneous actions (drafting of decisions 
following instructions, handling petitions for 
reconsideration, preparation of Commission agenda 
items, disposition of motions pursuant to delegated 
authority), were also taken by the Office of Opinions 
and Review during this period. 



Final pending no, 
Commissico goal 



10 



45 days 



45 days 



75 days 



26 





Interlocutory 

applications 

for review 


Review of 

final Review 

Board decisions 


Review of 

interlocutory Review 

Board decisions 


Summary of exceptions 
prepared for 
oral orqument 


Peri<Ki 


No. 

3 


Avqdays 

116 


No. 

3 


Avqdays 

406 


No. 




Avq days 


No. 

2 


Avg days 


5/1/76-8/31/76 


84 


9/ 1/76- 12/3 1/76 


6 


122 


7 


164 





— 


3 


77 


1/1/77-4/30/77 


7 


317 


4 


440 





— 


1 


60 


5/1/77-8/31/77 


7 


126 


1 


256 





— 





— 


9/ 1/77- 12/3 1/77 


8 


206 


3 


444 


2 


751 





— 


1/1/78 4/30/78 


4 


107 i 


4 


625 





— 


3 


160 


5/1/78-8/31/78 


_0 


_n ' 


8 


241 


1 


202 


5 


352 



105 days 



116 



Agency: FEDERAL COMMUNICATIONS COMMISSION 
Case type: AM Radio 



Case-Closed Cords Submitted— ° 

FY: 76 77 78 76-78 

Number: 20 N/A N/A N/A 



MANNER OF TERMINATION (number of cases) 
Not on Merits— 76 77 78 



Settlement 
Withdrawal 
Dismissal 
Other 

On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o IHeoring 



76-78 



1 N/A N/A N/A 
N/A N/A N/A 

2 N/A N/A N/A 
N/A N/A N/A 



15 N/A N/A N/A 

N/A N/A N/A 

2 N/A N/A N/A 



AGENCY REVIEW (number of cases) 
Review— 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



10 N/A N/A 
10 N/A N/A 



7 N/A N/A 

2 N/A N/A 

N/A N/A 

1 N/A N/A 



76-78 

N/A 
N/A 



N/A 
N/A 
N/A 
N/A 



ELAPSED TIME DATA 



Stage of Case 



Prehearing 



Hearing 



Posfheoring 



Total Time 



Case Elapsed Time (days) Distribution of Cases by Elapsed Time (cases) fsj 

(cases) 



Breakdow 


n FY 
76 


Avg 

821.2 


Min 

7 


Max 


All 


3532 


Cases 


77 


N/A 


N/A 


N/A 




78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


With ALJ 


76 


548.0 


130 


1315 


Hearing on 77 


N/A 


N/A 


N/A 


Merits 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


All 


76 


364.2 


48 


1190 


Other 


77 


N/A 


N/A 


N/A 


Cases 


78 


N/A- 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


With 


76 


570.0 


181 


923 


Agency 


77 


N/A 


N/A 


N/A 


Review 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


All 


76 


42.4 





109 


Other 


77 


N/A 


N/A 


N/A 


Coses 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


With 


76 


1869.4 


936 


3245 


Agency 


77 


N/A 


N/A 


N/A 


Review 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


All 


76 


1463.1 


421 


4159 


Other 


77 


N/A 


N/A 


N/A 


Cases 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 



0-lmo l-4mo 4-l2mo l-2yr 2yr4 



Notes— 

° The FCC did not submit data for FY 1 977 and FY 1 978. 



2 II 2 



2 2 







5 4 8 19 



6 3 10 



3 7 10 



9 



4 6 10 



117 



TIME AND EFFORT AT THE HEARING STAGE 



Time/Effort (days, pages, etc.) 



Item 


FY 

76 

77 

78 

76-78 


Avg 

6.8 
N/A 
N/A 

N/A 


Min 

1 
N/A 
N/A 
N/A 


Max 


Prehearing ALJ prehearing 

& Hearing and hearing; 
Time separate 

days per cose 


13 
N/A 
N/A 
N/A 


ALJ prehearing 
cmd hearing: 
hours per case 


76 

77 

78 

76-78 


14.7 

N/A 

N/A 

■ N/A 


1 
N/A 
N/A 
N/A 


35 
N/A 
N/A 
N/A 


ALJ Travels 
hours per case 


76 

77 

78 

76-78 


' 
N/A 
N/A 
N/A 



N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


Parties Petitioners, respon- 
dents, interveners 
(including agency): 
number per case 


76 

77 

78 

76-78 


3.3 
N/A 
N/A 
N/A 


1 
N/A 
N/A 
N/A 


6 
N/A 
N/A 
N/A 


Paperwork Evidentiary docu- 
ments (excluding 
briefs): 
number per case 


76 

77 

78 

76-78 


73.3 

N/A 
N/A 

N/A 


4 
N/A 
N/A 
N/A 


136 
N/A 
N/A 
N/A 


Transcripts: 
pages per case 


76 

77 

78 

76-78 


484.7 
,N/A 
'N/A 
N/A 


7 
N/A 
N/A 
N/A 


1369 
N/A 
N/A 
N/A 


Briefs: 

pages per cose 


76 

77 

78 

76-78 


il7.5 
N/A 

■N/A 
N/A 



N/A 
N/A 
N/A 


426 
N/A 
N/A 
N/A 


Exhibits: 
pages per cose 


76 

77 

78 

76-78 


620.3 
N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


1942 
N/A 
N/A 
N/A 


Contested 
motions: 
number per case 


76 

77 

78 

76-78 


6.8 

N/A 
N/A 
N/A 



N/A 

N/A 
N/A 


15 
N/A 
N/A 
N/A 


Written opinions 
by ALJ: 
pages per cose 


76 
77 

78 
76-78 


14.2 
N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


36 

N/A 
N/A 
N/A 



Coses with full or partial hearing — 

FY: 76 77 78 76-78 

Number: 15 N/A N/A N/A 

Distribution of Coses by Time/Effort Item 
~0l2 3I9 1(^59 60-199 200+dQys, etc. 



N 
(coses) 



5 3 



4 15 



5 



3 8 



2 15 



10 



I 



3 5 



2 13 2 



10 2 5 



2 4 3 



2 2 5 



Procedures — 

The Commission designates a matter for hearing. No 
application may be denied without an opportunity for a 
hearing. If there are competitive applicants a comparative 
hearing must be held. Appeal to the Commission can be filed 
within 30 days after public release of the initial decision. 



118 



Agency: FEDERAL COMMUNICATIONS COMMISSION 
Cose type: FM Radio 



Case-Closed Cards Submitted— ° 

FY: 76 77 78 76-78 

Number: 47 N/A N/A N/A 



MANNER OF TERMINATION (number of cases) 



Not on Merits — 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 



ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76 



77 



78 76-78 



8 N/A 


N/A 


N/A 


1 N/A 


N/A 


N/A 


9 N/A 


N/A 


N/A 


2 N/A 


N/A 


N/A 



22 N/A N/A N/A 

I N/A N/A N/A 

4 N/A N/A N/A 



AGENCY REVIEW (number of coses) 
Review— 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



14 N/A N/A 
33 N/A N/A 



I I N/A N/A 

3 N/A N/A 

N/A N/A 

N/A N/A 



76-78 

N/A 
N/A 



N/A 
N/A 
N/A 
N/A 



ELAPSED TIME DATA 



Stage of Case 



Prehearing 



Hearing 



Posthearing 



Total Time 



Cose 




Elapse< 


J Time 


(days) 


Breakdow 


n FY 
76 


Avg 

560.3 


Min 

24 


Max 


All 


1452 


Coses 


77 


N/A 


N/A 


N/A 




78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


With ALJ 


76 


475.2 


159 


197! 


Hearing on 77 


N/A 


N/A 


N/A 


Merits 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


All 


76 


276.9 


25 


1361 


Other 


77 


N/A 


N/A 


N/A 


Cases 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


With 


76 


416.4 


63 


1027 


Agency 


77 


N/A 


N/A 


N/A 


Review 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


All 


76 


31.0 





120 


Other 


77 


N/A 


N/A 


N/A 


Cases 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


With 


76 


1750.5 


755 


3344 


Agency 


77 


N/A 


N/A 


N/A 


Review 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


All 


76 


788.0 


329 


1276 


Other 


77 


N/A 


N/A 


N/A 


Cases 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 



Distribution of Cases by Elapsed Time (coses) [vj 
Q-lmo l-<lmo 4-l2mo l-2yr 2yr+ (cases) 

I 8 25 9 43 



14 5 4 23 



6 12 4 



24 



5 6 2 14 



19 14 33 



12 12 







12 18 31 



Notes— 

° The FCC did not submit data for FY 1 977 and FY 1 978. 



119 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or partial hearing— 

FY: 76 77 78 76-78 

Number; 31 N/A N/A N/A 



Time/Effort (days, pages, etc.) Distribution of Cases by Time/Effort Item 



Item 


FY 

76 

77 

78 

76-78 


Avg 

3.6 
N/A 
N/A 
N/A 


Min 

1 
N/A 
N/A 
N/A 


Max 


Prehearing ALJ prehearing 
& Hearing and hearing; 
Time separate 

days per cose 


14 
N/A 
N/A 
N/A 


ALJ prehearing 
ond hearing; 
hours per cose 


76 

77 

78 

76-78 


6.9 

N/A 
N/A 
N/A 


1 
N/A 
N/A 
N/A 


38 
N/A 
N/A 
N/A 


ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 


, 
N/A 
N/A 
N/A 




N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


Parties Petitioners, respon- 
dents, interveners 
(including ogency): 
number per cose 


76 

77 

78 

76-78 


2.9 
N/A 
N/A 
N/A 


1 
N/A 
N/A 
N/A 


6 
N/A 
N/A 
N/A 


Paperwork Evidentiary docu- 
ments (excluding 
briefsH 
number per case 


76 

77 

78 

76-78 


55.2 
N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


856 
N/A 
N/A 
N/A 


Transcripts: 
pages per cose 


76 

77 

78 

76-78 


256.8 

N/A 
N/A 
N/A 


4 
N/A 
N/A 
N/A 


1129 
N/A 
N/A 
N/A 


Briefs: 

poges per case 


76 

77 

78 

76-78 


85. «t 
N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


445 
N/A 
N/A 
N/A 


Exhibits: 
pages per case 


76 

77 

78 

76-78 


II 1.0 
N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


725 
N/A 
N/A 
N/A 


Contested 
motions: 
number per case 


76 

77 

78 

76-78 


4.2 
N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


13 
N/A 
N/A 
N/A 


Written opinions 
by ALJ: 
pages per cose 


76 

77 

78 

76-78 


12.3 
N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


72 

N/A 
N/A 
N/A 



0-2 3-9 10-59 6(X-I99 20&+days, etc. 



15 17 







II 18 4 



14 



II 23 



6 4 13 



2 5 10 14 



6 8 8 3 



5 4 12 3 



11 13 2 



7 10 10 1 



N 
(cases) 

33 



33 



14 



34 



25 



25 



24 



26 



28 



Procedures — 

The Commission designates a matter for hearing. No 
application may be denied without on opportunity for a 
hearing. If there are competitive applicants a comparative 
hearing must be held. Appeal to the Commission can be filed 
within 30 days after public release of the initial decision. 



120 



Agency: FEDERAL COMMUNICATIONS COMMISSION 
Case type: Television 



Case-Closed Cards Submitted— ° 

FY: 76 77 78 76-78 

Number: 13 N/A N/A N/A 



MANNER OF TERMINATION (number of cases) 



Not on Merits- 
Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 



ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76 



77 



78 76-78 



2 N/A 


N/A 


N/A 


N/A 


N/A 


N/A 


1 N/A 


N/A 


N/A 


1 N/A 


N/A 


N/A 



9 N/A N/A N/A 

N/A N/A N/A 

N/A N/A N/A 



AGENCY REVIEW (number of cases) 



Review- 


76 


77 


78 


76-78 


Yes: 
No: 


8 
5 


N/A 
N/A 


N/A 
N/A 


N/A 
N/A 


Result- 










Affirm 
Reverse 
Modify 
Remand/Other 


h 

1 
3 


N/A 
N/A 
N/A 
N/A 


N/A 
N/A 
N/A 
N/A 


N/A 
N/A 
N/A 
N/A 



ELAPSED TIME DATA 



Stage of Case 



Prehearing 



Hearing 



Posthearing 



Total Time 



Cose 



Elapsed Time (days) 



Breakdow 


n FY 
76 


Avg 

286.0 


Min 




Max 


All 


1157 


Cases 


77 


N/A 


N/A 


N/A 




78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


With ALJ 


76 


1003.2 


307 


2407 


Hearing on 77 


N/A 


N/A 


N/A 


Merits 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


All 


76 


275.3 


102 


652 


Other 


77 


N/A 


N/A 


N/A 


Cases 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


With 


76 


682.4 


183 


1837 


Agency 


77 


N/A 


N/A 


N/A 


Review 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


All 


76 


12.2 





61 


Other 


77 


N/A 


N/A 


N/A 


Cases 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


With 


76 


2055.0 


544 


3325 


Agency 


77 


N/A 


N/A 


N/A 


Review 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


All 


76 


667.8 


189 


1259 


Other 


77 


N/A 


N/A 


N/A 


Cases 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 



Distribution of Cases by Elapsed Time (cases) |\j 
0-lmo l-4mo 4-l2mo l-2yr 2yr+ (cases) 



Notes— 

° The FCC did not submit data for FY 1977 and FY 1978. 



2 I 



3 2 3 



4 10 



16 



12 2 



7 12 2 12 



2 2 5 



I2i 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing — 

FY: 76 77 78 76-78 

Number: II N/A N/A N/A 

Time/Effort (days, pages, etc.) Distribution of Coses by Time/Effort Item 



Item 


FY 

76 

77 

78 

76-78 


Avg 

24.4 
N/A 
N/A 
N/A 


Min 

2 

N/A 
N/A 
N/A 


Max 


Prehearing ALJ prehearing 
& Hearing and hearing: 
Time separate 

days per cose 


88 
N/A 
N/A 
N/A 


ALJ prehearing 
and heoringi 
hours per case 


76 

77 

78 

76-78 


81.1 

N/A 
N/A 
tsl/A 


1 
N/A 
N/A 
N/A 


382 
N/A 
N/A 
N/A 


ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 


' 1.5 

N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


6 
N/A 

N/A 
N/A 


Parties Petitioners, respon- 
dents, interveners 
(including ogency); 
number per case 


76 

77 

78 

76-78 


3.3 

N/A 
N/A 
N/A 


1 
N/A 
N/A 
N/A 


7 
N/A 
N/A 
N/A 


Paperwork Evidentiary docu- 
ments (excluding 
briefs): 
number per case 


76 

77 

78 

76-78 


104.9 
N/A 
N/A 
N/A 


4 
N/A 
N/A 
N/A 


419 
N/A 
N/A 
N/A 


Transcripts: 
pages per cose 


76 

77 

78 

76-78 


2674.0 
N/A 
N/A 
N/A 


13 
N/A 
N/A 
N/A 


14951 
N/A 
N/A 
N/A 


Briefs: 

pages per cose 


76 

77 

78 

76-78 


611.8 

N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


1600 
N/A 
N/A 
N/A 


Exhibits: 
pages per case 


76 

77 

78 

76-78 


1197.0 

N/A 
N/A 
N/A 


82 

N/A 
N/A 
N/A 


2800 
N/A 
N/A 
N/A 


Contested 
motions: 
number per cose 


76 

77 

78 

76-78 


5.0 
N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


17 
N/A 
N/A 
N/A 


Written opinions 
by ALJ: 
pages per case 


76 

77 

78 

76-78 


39.3 
N/A 
N/A 
N/A 


4 
N/A 
N/A 
N/A 


67 
N/A 
N/A 
N/A 



0-2 3-9 10-59 60-199 2{K)+<jays, etc. 



2 2 2 10 



3 2 2 1 



3 10 



4 5 



2 2 2 



3 5 



N 
(coses) 



3 



2 3 



3 3 







112 



Procedures — 

The Commission designates a matter for hearing. No 
application may be denied without an opportunity for a 
hearing. If there are competitive applicants ai comparative 
hearing must be held. Appeal to the Commission con be filed 
within 30 days after public release of the initial decision. 



122 



Agency: FEDERAL COMMUNICATIONS COMMISSION 
Cose type: Cable Television 



Case-Closed Cards Submitted — ° 

FY: 76 77 78 76-78 

Number: 10 N/A N/A N/A 



MANNER OF TERMINATION (number of coses) 
Not on Merits- 76 77 78 



Settlement 
Withdrawal 
Dismissal 
Other 

On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



2 N/A N/A N/A 

2 N/A N/A N/A 

I N/A N/A N/A 

I N/A N/A N/A 



N/A N/A N/A 

N/A N/A N/A 

4 N/A N/A N/A 



AGENCY REVIEW (number of coses) 
Review— 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



2 N/A N/A 
8 N/A N/A 



2 N/A N/A 

N/A N/A 

N/A N/A 

N/A N/A 



76-78 

N/A 
N/A 



N/A 
N/A 
N/A 
N/A 



ELAPSED TIME DATA 



Stage of Cose 



Prehearing 



Hearing 



Postheoring 



Total Time 



Case 


1 FY 
76 


tiapset 


1 time 


Idays^ 


Breokdowi 


Avg 

427.0 


Min 

53 


Max 


All 


1052 


Cases 


77 


N/A 


N/A 


N/A 




78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


With ALJ 


76 











Hearing on 77 


N/A 


N/A 


N/A 


Merits 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


All 


76 


117.2 


3 


303 


Other 


77 


N/A 


N/A 


N/A 


Coses 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


With 


76 


149.5 


127 


172 


Agency 


77 


N/A 


N/A 


N/A 


Review 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


Ail 


76 


23.0 





89 


Other 


77 


N/A 


N/A 


N/A 


Cases 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


With 


76 


407.0 


407 


407 


Agency 


77 


N/A 


N/A 


N/A 


Review 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


All 


76 


629.9 


106 


135! 


Other 


77 


N/A 


N/A 


N/A 


Cases 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 



Elapsed Time (days) Distribution of Cases by Elapsed Time (coses) n 

0-1 mo l-'Mno A-IZmo l-2yr 2yr+ (cases) 



2 2 2 2 







2 4 4 10 



2 



5 3 







113 2 



Notes— 

*• The FCC did not submit data for FY 1 977 and FY 1 978. 



123 



TIME AND EFFORT AT THE HEARING STAGE 



Time/Effort (days, pages, etc.) 





Item 


FY 

76 

77 

78 

76-78 


Avg 

1.9 
N/A 
N/A 
N/A 


Min 

1 
N/A 
N/A 
N/A 


Max 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearing: 
separate 
days p«r case 


3 

N/A 
N/A 
N/A 




ALJ prehearing 
and hearings 
hours pier case 


76 

77 

78 

76-78 


1.4 
N/A 
N/A 
INI/A 


1 
N/A 
N/A 
N/A 


2 

N/A 
N/A 
N/A 




ALJ Traveli 
hours per case 


76 

77 

78 

76-78 


' 
N/A 
N/A 
N/A 




N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


Parties 


Petitioners, respon- 
dents, interveners 
(including cigency)i 
number per case 


76 

77 

78 

7^78 


2.3 

N/A 
N/A 
N/A 


1 
N/A 
N/A 
N/A 


4 
N/A 
N/A 
N/A 


Paperworl< 


Evidentiary docu- 
ments (excluding 
briefs): 
number per cose 


76 

77 

78 

76-78 


0.8 
N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


3 

N/A 
N/A 
N/A 




Transcripts: 
pages per case 


76 

77 

78 

76-78 


39.3 
N/A 
N/A 
N/A 


6 
N/A 
N/A 
N/A 


105 
N/A 
N/A 
N/A 




Briefs: 

pages per case 


76 

77 

78 

76-78 


1,5.8 
N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


47 
N/A 
N/A 
N/A 




Exhibits; 
pages per cose 


76 

77 

78 

76-78 


■ 

N/A 
N/A 
N/A 



N/A 
N/A 
N/A 




N/A 
N/A 
N/A 




Contested 
motions: 
number per cose 


76 

77 

78 

76-78 


,0.5 
N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


1 
N/A 
N/A 
N/A 




Written opinions 
by ALJ: 
poges per cose 


76 

77 

78 

76-78 


4.5 
N/A 
N/A 

N/A 



N/A 
N/A 
N/A 


II 
N/A 
N/A 
N/A 



Cases with full or partial hearing— 

FY: 76 77 78 76-78 

Number: I N/A N/A N/A 

Distribution of Coses by Time/Effort Item 
0-2 3-9 10-59 60-199 2004<ki ys, etc. 

5 2 



7 



4 



4 3 



(cases) 







4 2 



2 2 



4 



4 



3 2 10 



Procedures — 

The Commission designates a matter for hearing. Hearings 
may be held when coble television systems petition for 
special relief or when licensees are required to show cause 
why a certain activity should not cease. Appeal to the 
Commission can be filed within 30 days after public release 
of the initial decision. 



124 



Agency: FEDERAL COMMUNICATIONS COMMISSION 
Case type: Domestic Common Carrier 



Case-Closed Cards Submitted — ° 

FY: 76 77 78 76-78 

Number: 13 N/A N/A N/A 



MANNER OF TERMINATION (number of coses) 
Not on Merits— 76 77 78 



Settlement 
Withdrawal 
Dismissal 
Other 

On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o IHeoring 



76-78 



3 N/A N/A N/A 

N/A N/A N/A 

N/A N/A N/A 

5 N/A N/A N/A 



4 N/A N/A N/A 

N/A N/A N/A 

1 N/A N/A N/A 



AGENCY REVIEW (number of coses) 



Review- 


76 


77 


78 


76-78 


Yes: 
No: 


1 
12 


N/A 
N/A 


N/A 
N/A 


n/a 

N/A 


Result- 










Affirm 
Reverse 
Modify 
RenrKBid/Other 


1 






N/A 
N/A 
N/A 
N/A 


N/A 
N/A 
N/A 
N/A 


N/A 
N/A 
N/A 
N/A 



ELAPSED TIME DATA 



Stage of Case 



Prehearing 



Hearing 



Post hearing 



Total Time 



Cose Elapsed Time (days ) Distribution of Cases by Elapsed Time (cases) |y| 

(coses) 



Breakdow 


n FY 
76 


Avg 

362.4 


Min 




Max 


All 


2066 


Cases 


77 


N/A 


N/A 


N/A 




78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


With ALJ 


76 


229.3 


172 


341 


Hearing on 77 


N/A 


N/A 


N/A 


Merits 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


All 


76 


354.3 


56 


1389 


Other 


77 


N/A 


N/A 


N/A 


Cases 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


With 


76 


438.0 


438 


438 


Agency 


77 


N/A 


N/A 


N/A 


Review 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


All 


76 


37.5 





178 


Other 


77 


N/A 


N/A 


N/A 


Coses 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


With 


76 


782.0 


782 


782 


Agency 


77 


N/A 


N/A 


N/A 


Review 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 


All 


76 


743.6 


135 


2167 


Other 


77 


N/A 


N/A 


N/A 


Coses 


78 


N/A 


N/A 


N/A 




76-78 


N/A 


N/A 


N/A 



0-lmo l-4mo 4-l2mo l-2yr 2yr+ 



4 3 4 2 13 



4 



3 4 2 







7 4 10 12 



1 



5 3 4 12 



Notes — 

° The FCC did not submit data for FY 1 977 and FY 1 978. 



125 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing — 

FY: 76 77 78 76-78 

Number: 4 N/A N/A N/A 

Time/Effort (days, pages, etc.) Distribution of Cases by Time/Effort Item 



Item 


FY 

76 

77 

78 

76-78 


Avg 

6.0 
N/A 
N/A 
N/A 


Min 

1 
N/A 
N/A 
N/A 


Max 


Prehearing ALJ prehearing 
& Hearing ond hearing: 
Time separate 

days per case 


1 
N/A 
N/A 
N/A 


ALJ prehearing 
end hearing; 
hours per case 


76 

77 

78 

76-78 


20.0 
N/A 
N/A 
N/A 


1 
N/A 
N/A 
N/A 


68 

N/A 
N/A 
N/A 


ALJ Travel: 
hours f>er case 


76 

77 

78 

76-78 


' 
N/A 
N/A 
N/A 



N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


Parties Petitioners, respon- 
dents, intervenors 
(incloding agency): 
number per cose 


76 

77 

78 

76-78 


8.5 
N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


30 

N/A 
N/A 
N/A 


Paperwork Evidentiary docu- 
ments (excluding 
briefs): 
number per case 


76 

77 

78 

76-78 


31.2 
N/A 
N/A 
N/A 


3 
N/A 

N/A 
N/A 


98 
N/A 
N/A 
N/A 


Transcripts: 
pages per case 


76 

77 

78 

76-78 


694.2 
N/A 
N/A 
N/A 


23 
N/A 
N/A 
N/A 


2414 
N/A 
N/A 
N/A 


Briefs: 

pages per cose 


76 

77 

78 

76-78 


196.4 
N/A 
N/A 
N/A 


49 
N/A 
N/A 
N/A 


356 
N/A 
N/A 
N/A 


Exhibits: 
poges per cose 


76 

77 

78 

76-78 


802.5 

N/A 
N/A 
N/A 


572 
N/A 
N/A 
N/A 


1258 
N/A 
N/A 
N/A 


Contested 
motions: 
number per case 


76 

77 

78 

76-78 


3.3 
N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


6 
N/A 
N/A 
N/A 


Written opinions 
by ALJ: 
pages per cose 


76 

77 

78 

76-78 


27.3 
N/A 
N/A 
N/A 


17 
N/A 
N/A 
N/A 


34 
N/A 
N/A 
N/A 



0-2 3-9 10-59 60-199 200+days, etc. 



N 
(cases) 



I 4 



I 2 2 







4 



13 2 



13 10 



2 4 



12 2 



4 



3 



4 



Procedures — 

The Commission designates a matter for hearing. See 
discussion in caseload tables (p. I 13) of various types of 
hearings. 



126 



Agency: FEDERAL COMMUNICATIONS COMMISSION 
Case type: Safety and Special Radio 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 29 N/A N/A N/A 



MANNER OF TERMINATION (number of coses) 
Not on Merits- 76 77 78 



Settlement 
Withdrawal 
Dismissal 
Other 

On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



3 N/A N/A N/A 

I N/A N/A N/A 

6 N/A N/A N/A 

I N/A N/A N/A 



IS N/A N/A N/A 

N/A N/A N/A 

3 N/A N/A N/A 



AGENCY REVIEW (number of cases) 

Review— 76 77 78 76-78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



3 N/A N/A 
26 N/A N/A 



2 N/A N/A 

I N/A N/A 

N/A N/A 

N/A N/A 



N/A 
N/A 



N/A 
N/A 
N/A 
N/A 



ELAPSED TIME DATA 



Stage of Case 



Prehearing 



Hearing 



Posthearing 



Total Time 



Case 


1 FY 


Elopsec 


Time 


IdaysJ 


Breakdow 


Avg 


Min 


Max 


All 
Coses 


76 

77 

78 

76-78 


331.1 
N/A 
N/A 
N/A 


71 
N/A 
N/A 
N/A 


791 
N/A 
N/A 
N/A 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


168.7 
N/A 
N/A 
N/A 


70 
N/A 
N/A 
N/A 


231 
N/A 
N/A 
N/A 


All 

Other 

Coses 


76 

77 

78 

76-78 


187.3 
N/A 
N/A 
N/A 


44 
N/A 
N/A 
N/A 


520 

N/A 
N/A 
N/A 


With 

Agency 

Review 


76 

77 

78 

76-78 


173.3 
N/A 
N/A 
N/A 


154 
N/A 
N/A 
N/A 


193 
N/A 
N/A 
N/A 


All 

Other 

Coses 


76 

77 

78 

76-78 


39.0 
N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


102 
N/A 
N/A 
N/A 


With 

Agency 

Review 


76 

77 

78 

76-78 


765.3 

N/A 
N/A 
N/A 


479 
N/A 
N/A 
N/A 


973 
N/A 
N/A 
N/A 


All 

Other 

Coses 


76 

77 

78 

76-78 


538.1 
N/A 

N/A 
N/A 


249 
N/A 
N/A 
N/A 


1013 
N/A 
N/A 
N/A 



Elapsed Time (days) Distribution of Cases by Elapsed Time (coses) f\j 

0-1 mo l-4mo 4-l2mo l-2yr 2yr+ (coses) 



3 14 II I 29 



I 14 15 



4 9 



3 



II 15 26 



12 



7 16 3 26 



Notes— 

° The FCC did not submit data for FY 1 977 and FY 1 978. 



127 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing — 

FY: 76 77 78 76-78 

Number: 20 N/A N/A N/A 

Time/Effort (days, pages, etc.) Distribution of Cases by Time/Effort Item 



Item 


FY 

76 

77 

78 

76-78 


Avg 

\A 
N/A 
N/A 
N/A 


Min 

1 
N/A 
N/A 
N/A 


Max 


Prehearing ALJ prehearing 
& Hearing and hearing: 
Time separate 

days per cose 


5 
N/A 
N/A 
N/A 


ALJ prehearing 
and hearing: 
hours f»er cose 


76 

77 

78 

76-78 


3.6 
N/A 

N/A 
N/A 


1 
N/A 
N/A 
N/A 


II 
N/A 
N/A 
N/A 


ALJ Travel: 
hours per case 


76 

77 

78 

76-78 


21.2 
N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


72 
N/A 
N/A 
N/A 


Parties Petitioners, respon- 
dents, intervenors 
(including agency): 
number per case 


76 

77 

78 

76-78 


2.0 
N/A 
N/A 
N/A 


1 

N/A 
N/A 
N/A 


4 
N/A 
N/A 
N/A 


PaperworI< Evidentiary docu- 
ments (excluding 
briefs): 
number per cose 


76 

77 

78 

76-78 


lO.I 
N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


38 
N/A 
N/A 
N/A 


Transcripts: 
pages per cose 


76 

77 

78 

76-78 


115.0 
N/A 
l>l/A 
N/A 


4 
N/A 
N/A 
N/A 


457 
N/A 
N/A 
N/A 


Briefs: 

pages per cose 


76 

77 

78 

76-78 


18.7 
N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


55 
N/A 
N/A 
N/A 


Exhibits: 
pages per case 


76 

77 

78 

76-78 


15.7 
N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


38 
N/A 
N/A 
N/A 


Contested 
motions: 
number per case 


76 

77 

78 

76-78 


1.2 
N/A 
N/A 
N/A 



N/A 
N/A 
N/A 


6 
N/A 
N/A 
N/A 


Written opinions 
by ALJ: 
pages per case 


76 

77 

78 

76-78 


5.0 
N/A 

N/A 
N/A 



N/A 
N/A 

N/A 


II 
N/A 
N/A 
N/A 



0-2 3-9 10-59 60-199 200+days, etc. 



19 I 



6 12 



2 6 







N 
(cases) 

20 



19 



2! 3 



2 II 7 



2 4 12 3 



3 2 12 



4 3 12 



13 4 



7 13 3 



20 



24 



20 



21 



17 



19 



17 



23 



Procedures — 

The Commission designates a matter for hearing. No 
application may be denied without an opportunity for a 
hearing. If there are competitive applicants a comparative 
hearing must be held. Appeal to the Commission can be filed 
within 30 days after public release of the initial decision. 



128 



FEDERAL ENERGY REGULATORY COMMISSION ° 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1 975 from previous publication) 



Case Type 



Coses New Cases 

Pending at Referred to 
FY Start of FY Of f ice of ALJs 



Cases Cases 

Terminated Pending at 
by Agency End of FY 



Natural Gas Act 
Pipeline Certificates 

1 5 use 7 1 7(c), 7 1 7b, 7 1 7f(b), 7 1 7m 
I8CFR I, 2.62, 157 

Applications by natural gas companies for certificates of 
public convenience and necessity for construction or extension 
of facilities, and rendering of services. Included in this case 
type are pipeline abandonment, pipeline importation and 
natural gas company exemption cases; and any show cause 
investigations under the Natural Gas Act. 



(75) 




67 


33 




76 


67 


43 


53 


57 


77 


57 


27 


36 


48 


78 


48 


8 


17 


39 



76-78 



78 



106 



Natural Gas Act 
Pipeline Rates 
l5USC7l7c(e) 
I8CFR 1,2.56, 2.59, 2.75 

Proceedings to determine the lawfulness of changes in rotes, 
charges, classifications or services filed by natural gas 
companies and suspended pending hearing. Investigation 
Initiated by complaint or on the Commission's motion to 
determine the justness and reasonableness of rates or charges. 



(75) 




44 


16 




76 


86 


79 


44 


121 


77 


121 


46 


65 


102 


78 


102 


49 


35 


116 



76-78 



174 



144 



Natural Gas Act 
Pipeline Curtailments 

I5USC7I7C, 7l7d 
I8CFR I 

Proceedings to determine whether a natural gas company's 
plan to curtail service to certain of its customers in the event 
of a shortage is unduly discriminatory and to determine 
whether the Commission's remedial plan is just and reasonable 
(7l7d). When filed as a proposed tariff amendment, 
curtailment plans may also be challenged under the procedures 
used in pipeline rote cases (717c). 



(75) 




20 


5 




76 


33 


8 


12 


29 


77 


29 





10 


19 


78 


19 





1 


18 



76-78 



23 



Natural Gas Act 
Pipeline Emergency Curtailment Relief 

1 5 use 7 1 7f (c) 
I8CFR I 

Proceedings to consider a petition filed by a distributor or 
user of natural gas to restore service or enjoin curtailment of 
service on a temporary, emergency basis. 



(75) 




23 


25 




76 
77 
78 


18 
16 

14 


II 




13 
2 




16 
14 
14 



76-78 



15 



° The Federal Power Commission was reorganized as the Federal Energy Regulatory Commission by the Department of Energy 
Organization Act, 91 Stat. 569, 42 USC 7131, effective Oct. I, 1977. 



129 



FEDERAL ENERGY REGULATORY COMMISSION ° (continued) 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1 975 from previous publication) 



Case Type 



Cases New Coses Cases Cases 

Pending at Referred to Terminated Pending at 
FY Start of FY Office of ALJs by Agency End of FY 



Natural Gas Act 
Producers Certificates 

I5USC7I7C, 7l7f 
I8CFR I 

Applications by producers (I.e., producers or sellers of 
natural gas in interstate commerce by means other than 
through pipelines) for certificates of public convenience and 
necessity for any service with respect to the transportation of 
natural gas in interstate commerce. This casetype also 
includes applications for permission to abandon facilities or 
services, for emergency temporary rate relief, and for 
temporary certificates. 



(75) 




29 


47 




76 


44 


27 


25 


46 


77 


46 


14 


21 


39 


78 


39 


5 


4 


40 



76-78 



46 



50 



Federal Power Act 
Electric Rates 

1 6 use 824d(e) 
I8CFR I 

Proceedings to determine the lawfulness of changes in rates, 
charges, classifications or services filed by electric utility 
companies and suspended pending hearing. Investigation 
Initiated by complaint or on the Commission's motion to 
determine the justness and reasonableness of rates or 
charges. This case type also includes electric antitrust cases 
and accounting procedure cases. 



(75) 




82 


50 




76 


no 


112 


74 


148 


77 


148 


62 


75 


135 


78 


135 


70 


64 


141 



76-78 



244 



213 



Federal Power Act 
Licensed Projects 

1 6 use 797(e) 
I8CFR I 

Applications for licenses (and amendments thereto) to 
constuct and maintain or operate hydro-electric projects 
affecting federal lands and/or navigable waters. 



(75) 




9 


1 




76 


26 


3 


7 


22 


77 


22 


6 


7 


21 


78 


21 


1 


4 


18 



76-78 



10 



49 use 15(1), 15(8) 



Oil Pipelines 
Rotemaking and Rulemaking 



Proceedings to issue rules and to establish oil pipeline rates 
under authority transferred from the Interstate Commerce 
Commission, effective October 1977, 42 USCA 7172(b). 



(75) 




~ 


~ 




76 


„ 


„ 


„ 


„ 


77 














78 





4 





4 



76-78 



" The Federal Power Commission was reorganized as the Federal Energy Regulatory Commission by the Department of Energy 
Organization Act, 91 Stat. 569, 42 USC 7131, effective Oct. I, 1977. 



130 



Agency: FEDERAL ENERGY REGULATORY COMMISSION 

Case type; Natural Gas Act 

Pipeline Certificates 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 56 38 14 108 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



4 


7 


3 


14 


5 








5 


4 





3 


7 


5 


4 


1 


10 


38 


26 


7 


71 

















1 





1 



AGENCY REVIEW (number of coses) 
Review— 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



36 
20 



27 
11 



33 21 

3 

1 2 

2 I 



76-78 

69 
39 



60 
3 
3 
3 



ELAPSED TIME DATA 




























Case 




Elapsed Time (days) 


Distribution 


of Coses by Elapsed Time (coses) 


N 


Stage of Cos 


Date of application 


Breakdowi 


n FY 
76 


Avg 

177.1 


Min 
42 


Max 

574 


0-lmo 


-Imo 


4-1 2mo 


l-2yr 

3 


2yr+ 




(coses) 


Prehearing 


All 





20 


32 


55 




/ Date of hearing 


Cases 


77 


273.5 


41 


1672 





14 


14 


4 


3 


35 




order 




78 


302.5 


99 


733 





3 


6 


3 


1 


13 








76-78 


225.7 


41 


1672 





37 


52 


10 


4 


103 


Hearing 


Hearing order / 


With ALJ 


76 


213.6 


57 


847 





7 


28 


2 


1 


38 




ALJ's decision 


Hearing on 77 


368.3 


31 


1126 





2 


13 


9 


2 


26 






Merits 


78 


422.7 


99 


1009 





1 


3 


2 


1 


7 








76-78 


290.8 


31 


1126 





ID 


44 


13 


4 


71 






All 


76 


189.3 


38 


820 





10 


5 


2 


1 


18 






Other 


77 


221.6 


4 


1296 


2 


4 


5 





1 


12 






Cases 


78 


200.7 


70 


447 





3 


3 


1 





7 








76-78 


201.9 


4 


1296 


2 


17 


3 


3 


2 


37 


Postheoring 


ALJ's decision / 


With 


76 


246.0 


38 


1447 





II 


19 


5 


1 


36 




Final agency 


Agency 


77 


308.2 


37 


647 





5 


II 


II 





27 




action 


Review 


78 


237.8 


43 


732 





2 


3 





1 


6 








76-78 


269.6 


37 


1447 





18 


33 


16 


2 


69 






All 


76 


II 1.8 





648 


12 


3 


3 


2 





20 






Other 


77 


146.9 





799 


3 


6 


1 





1 


II 






Cases 


78 


86.6 





404 


4 


2 


1 


1 





8 








76-78 


116.5 





799 


19 


II 


5 


3 


1 


39 


Total Time 


Application / Final 


With 


76 


629.8 


235 


1705 








7 


18 


10 


35 




agency action 


Agency 


77 


969.4 


240 


2309 








1 


4 


21 


26 






Review 


78 


1016.7 


477 


1490 











1 


5 


6 








76-78 


796.2 


235 


2309 








8 


23 


36 


67 






All 


76 


496.7 


116 


1240 





1 


8 


7 


4 


20 






Other 


77 


533.9 


50 


1470 





1 


1 


6 


1 


9 






Cases 


78 


590.7 


169 


1050 








2 


2 


3 


7 








76-78 


524.3 


50 


1470 





2 


II 


15 


8 


36 



I3D 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or partial hearing- 



Item 



FY 



Time/Effort (days, pages, etc.) 



Avg 



Min 



Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearings 
separate 
days per cose 


76 

77 

78 

76-78 


2.9 

II. 1 

6.8 

6.4 




ALJ prehearing 

CTxl hearings 
hours per case ° 


76 

77 

78 

76-78 


- 




ALJ Travel; 
hours per case ° 


76 

77 

78 

76-78 


~"" 



Parties 



Paperwork 



Max 

35 
253 

38 
253 



Petitlofiers, respon- 
dents, interveners 
(inclining agency): 
number per cose 


76 

77 

78 

76-78 


5.9 
10. 1 
10.7 

7.9 


2 
2 
3 
2 


25 
70 
19 
70 


Evidentiary docu- 
ments (excluding 
briefs)! 
number per cose 


76 

77 

78 

76-78 


19.1 
26.0 
60.9 
25.9 




1 

5 



162 
105 
201 

201 


Transcripts: 
pages per cuse 


76 

77 

78 

76-78 


336.0 

1661.2 

870.1 

882.6 


8 
13 
20 

8 


4517 
44894 

4697 
44894 


Briefs: 

pages per cose 


76 

77 

78 

76-78 


58.7 
312.0 
224.9 
166.7 



13 
10 




190 

5000 

610 

5000 


Exhibits: 


76 











pages per cose ° 


77 
78 

76-78 








- 


Contested 

motionss 

number per case ° 


76 

77 

78 

76-78 


H 


- 


= 


Written opinions 
by ALJ: 
pages per cose 


76 

77 

78 

76-78 


14.0 
35.0 
36.0 
24.0 


2 
4 
6 
2 


33 
430 
152 
430 



FY: 


76 


77 


78 


76-78 




Number: 


51 


37 


12 


100 




Distribution of Cases by 


Time/Effort Item 


N 


0-2 3-9 


10-59 


60-199 200+days, etc. 


(coses) 


45 3 

18 15 

8 1 

71 19 


4 
3 
3 
10 












1 



1 


52 

37 

12 

10! 


OOOO 
oooo 




























OOOO 

oooo 





























3 29 
3 17 
3 
6 49 


5 

5 
4 
14 






1 



1 








37 
26 

7 
70 


1 20 

3 6 
2 

4 28 


13 

12 

2 

27 




3 
4 
2 

9 





1 
1 


37 

25 

7 

69 


2 


2 


5 

5 

2 

12 




26 

10 

5 

41 


18 
21 

5 
44 


51 
36 
12 
99 


2 3 


2 3 


17 
8 
3 

28 




14 

12 

1 

27 



4 
3 
7 


36 
24 

7 
67 


oooo 
oooo 




























































1 10 
9 

2 

1 21 


26 

14 

4 

44 





2 
1 
3 




1 


1 


37 
26 

7 
70 



Procedures — 

The prehearing stage begins when the company files an 
application for relief. The Office of Pipeline and Producer 
Regulation assigns the case to a member of the staff who 
may recommena that a hearing be held. When the case is 
orciered for hearing, it is referred to the CALJ's office. There 
is sometimes a delay before the case is assigned to an 
individual ALJ. Due to frequent postponements, often 
requested by staff, the CALJ waits until one week before the 
prehearing conference is scheduled to assign the case. In the 
meantime, all preliminary motions are handled by the 
Secretary to the FERC. 



After the ALJ has written the initial decision, briefs on 
exceptions are due in 30 days, unless the time is extended or 
shortened by order of the Commission, and briefs opposing 
exceptions ore normally due 20 days after that. 

°The FERC Office of Administrative Law Judges did not 
submit data for these categories. 



132 



Agency: FEDERAL ENERGY REGULATORY COMMISSION 

Case type: Natural Gas Act 
Pipeline Rates 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 45 61 33 139 



MANNER OF TERMINATION (number of cases) 

Not on Merits- 76 77 78 76-78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



20 


32 


19 


71 


1 


1 





2 


1 


1 





2 


8 


1 


1 


10 


15 


26 


13 


54 



























AGENCY REVIEW (number of cases) 



Review- 


76 


77 


78 


76-78 


Yes: 
No: 


15 
30 


24 

37 


9 
24 


48 
91 


Result- 










Affirm 
Reverse 
Modify 
Remand/Other 


14 

1 



15 
2 

7 



7 
1 

1 



36 
3 
9 





ELAPSFD TIME DATA 




























Case 




Elapsed Time (days) 


Distribution of Coses by Elapsed Time (cases) 


N 


Stage of Ca> 


>e 

Complaint or show 


Breakdow 


n FY 
76 


Avg 

49.8 


Min 

4 


Max 

402 


0-lmo 


l-4mo 


A-l2mo 


l-2yr 

1 


2yr+ 




(cases) 


FVehearing 


All 


12 


28 





41 




cause order / Date 


Cases 


77 


81.8 


1 


1119 


22 


34 


1 


2 


1 


60 




of hearing order 




78 


36.0 


5 


62 


15 


17 











32 








76-78 


61.0 


1 


1119 


49 


79 


1 


3 


1 


133 


Hearing 


Hearing order / 


With ALJ 


76 


448.3 


122 


1520 








8 


5 


2 


15 




ALJ's decision 


Hearing on 77 


606.9 


19 


2089 


1 





6 


12 


7 


26 






Merits 


78 


623.9 


308 


1048 








3 


6 


4 


13 








76-78 


566.9 


19 


2089 


1 





17 


23 


13 


54 






All 


76 


317.4 


44 


1423 





6 


12 


11 


1 


30 






Other 


77 


321.9 


7 


1057 


3 


4 


14 


12 


2 


35 






Cases 


78 


478.5 


90 


1383 





1 


9 


7 


3 


20 








76-78 


357.1 


7 


1423 


3 


II 


35 


30 


6 


85 


Postheoring 


ALJ's decision / 


With 


76 


379.9 


74 


1212 





3 


5 


6 


1 


15 




Final agency 


Agency 


77 


447.1 


19 


1265 


1 


3 


9 


7 


4 


24 




action 


Review 


78 


534.3 


176 


757 








2 


5 


2 


9 








76-78 


442.5 


19 


1265 


1 


6 


16 


18 


7 


48 






All 


76 


52.8 





223 


17 


8 


5 








30 






Other 


77 


167.6 





598 


II 


11 


8 


7 





37 






Cases 


78 


141.7 





661 


II 


4 


5 


4 





24 








76-78 


122.9 





661 


39 


23 


18 


11 





91 


Total Time 


Complaint or show 


With 


76 


950.7 


467 


1746 











6 


7 


13 




cause order / Final 


Agency 


77 


1151.6 


371 


2240 











2 


21 


23 




agency action 


Review 


78 


1147.8 


571 


1766 











2 


6 


8 








76-78 


1091.5 


371 


2240 











10 


34 


44 






All 


76 


424.6 


90 


1582 





4 


10 


12 


2 


28 






Other 


77 


576.8 


18 


1200 


1 


1 


7 


19 


9 


37 






Cases 


78 


704.3 


185 


1749 








3 


13 


8 


24 








76-78 


563.3 


18 


1749 


1 


5 


20 


44 


19 


89 



133 



TIME AND EFFORT AT THE HEARIIMG STAGE 



Cases with full or partial hearing- 















FY 




76 


77 


78 


76-78 
















Number 




30 


56 


29 


115 






Item 


FY 

76 

77 

78 

76-78 


Time/Effort (days, p 
Avg Min 

7.4 

3.3 1 

2.4 1 
4.1 


loges, etc.) 
Max 


Distribut 
0-2 

14 
30 
21 
65 


ion 
3-9 

14 

22 

8 

44 


f Cases 
10-59 


by Time/Effort Item 
60-199 20O«kiys5 etc, 

1 




1 


N 
(cases) 


Prehearing 

& Hearing 
Time 


ALJ prehearing 

and hearing: 
separate 
days per case 


121 

2! 

9 

121 


1 

3 

4 


30 
55 
29 
114 




ALJ prehearing 

and hetn-ing: 
hours per cose ° 


76 

77 

78 

76-78 


~ 


- 


~ 












































ALJ Travel: 
hours per case ° 


76 

77 

78 

76-78 


~ 


- 


= 










































Parties 


Petitioners, respon- 
dents, interveners 
(irtcliiding ogency): 
numnbra' per ccise 


76 

77 

78 

76-78 


9.4 

10.9 

5.9 

9.3 



2 
2 



47 
47 
19 
47 


5 

2 

3 

10 


5 
13 

8 
26 


7 

10 

2 

19 
















17 
25 
13 
55 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs): 
number per cose 


76 

77 

78 

76-78 


31.9 
35.1 
25.1 
31.8 



3 
2 




226 

148 

53 

226 


4 


1 
5 


1 

5 
2 
8 


12 
16 
10 
38 





4 


4 


1 




1 


18 
25 
13 
56 




Transcripts: 
pages per case 


76 

77 

78 

76-78 


950.3 
355.0 
246.9 
485.8 


4 
2 
4 
2 


14432 
2929 
1296 

14432 




1 


1 


2 

3 

5 

10 


1 
10 

7 
18 




6 
16 

7 
29 


20 
20 
10 
50 


29 

50 

29 

108 




Briefs: 

pages per case 


76 

77 

78 

76-78 


197.4 
113.9 
153.5 
150.4 



16 
40 




1594 
439 
475 

1594 


3 


3 


1 




1 


5 
8 
2 
15 




4 
12 

8 
24 


4 

3 

3 

10 


17 
23 
13 
53 




Exhibits: 
pages per cose ° 


76 

77 

78 

76-78 


~ 


- 


- 










































Contested 
motions: 

number per cose ° 


76 

77 

78 

76-78 


~ 


- 


- 











































Written opinions 
by ALJ: 
pages per cose 


76 

77 

78 

76-78 


22.8 
21.2 
23.4 
22.2 



3 

7 



100 
70 
50 

100 


3 


3 


2 

1 

2 
5 


12 
23 
II 

46 




1 
1 


2 








18 
25 
13 
56 



Procedures — 

The case is initiated by the filing of a rate by a gas 
company. An investigation may be initiated by a third-party 
complaint or by the Commision on its own motion. The rate 
may then be suspended pending a hearing. 

When the case is ordered for hearing, it is referred to the 
CALJ's office. There is sometimes a delay before the case is 

assigned to an individual Al I. Due to frequent 

postponements, often requested by staff, the CALJ waits 
until one week before the prehearing conference is scheduled 



to assign the case. In the meantime, all preliminary motions 
are handled by the Secretary to the FERC. 

After the ALJ has written the initial decision, briefs on 
exceptions are due in 30 days, unless the time is extended or 
shortened by order of the Commission, and briefs opposing 
exceptions ore normally due 20 days after that. 

°The FERC Office of Administrative Law Judges did not 
submit data for these categories. 



134 



Agency: FEDERAL ENERGY REGULATORY COMMISSION 

Case type: Natural Gas Act 

Pipeline Curtailments 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 15 II I 27 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



3 


4 





7 


3 








3 














2 








2 


7 


7 


1 


15 



























AGENCY REVIEW (number of cases) 
Review— 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76-78 

15 
12 



II 
I 

3 




ELAPSED T 


ME DATA 
>e 

Plan, complaint, or 
show cause order / 
Date of hearing 
order 


Case 
Breakdowi 


1 fl 

76 

77 

78 

76-78 


Elapsed Time (days) 
Avg Min Max 

62.1 5 276 
S3.? 266 
87.0 87 87 
78.4 276 


Distribution of Cases by Elapsed Time (cases) 


N 


Stage of Cos 


0-lmo 


l-4mo 


4-l2mo 


l-2yr 







2yr+ 







(coses) 


Prehearing 


All 
Cases 


5 
3 

8 


9 

5 

1 

15 


1 

3 

4 


15 

11 

1 

27 


Hearing 


Hearing order / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


191.1 
374.6 
450.0 
294.0 


32 
127 
450 

32 


458 
622 
450 
622 








1 




1 


5 
4 

9 


1 

3 
1 
5 








7 

7 

1 

IS 






All 

Other 

Cases 


76 

77 

78 

76-78 


222.3 
160.5 

201.7 


29 
90 

29 


705 
261 

705 


1 




1 


2 
2 


4 


4 
2 

6 


1 




1 








8 

4 



12 


Posthearing 


ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


221.9 
211. 1 
626.0 
243.8 


38 

42 

626 

38 


645 
411 
626 
645 








3 
2 

5 


2 
3 

5 


2 
2 
1 

5 








7 
7 

1 
15 






All 

Other 

Cases 


76 

77 

78 

76-78 


71.0 
275.8 

139.3 



154 




245 
598 

598 


4 


4 


2 


2 


2 

3 


5 




1 


1 








8 

4 



12 


Total Time 


Plan, complaint, or 
show cause order / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


451.7 
693.4 
1163.0 
611.9 


190 

477 

1163 

190 


879 

908 

1163 

1163 














3 


3 


3 
4 

7 


1 

3 

1 

5 


7 

7 

1 

15 






All 

Other 

Cases 


76 

77 

78 

76-78 


375.9 
522.5 

424.8 


124 
278 

124 


1005 
886 

1005 














6 
2 

8 


1 
1 


2 


1 
I 


2 


8 

4 



12 



135 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



Time/Effort (days, pqges, etc.) 
FY Avg Min Max 



Prehearing ALJ prehearing 
& Hearing and hearings 
Time separate 

days per cose 



Parties 



Paperworl< 



ALJ prehearing 
and hearing: 
hours per cose ° 



ALJ Travel: 
hours per case ° 



76 

77 

78 

76-78 

76 
77 
78 

76-78 

76 

77 

78 

76-78 



Petitioners, respon- 76 
dents. Interveners 77 

(including agencyH 78 

number per case 76-78 



Evidentiary dooji- 
ments (excluding 
briefs): 
number per case 

Transcripts: 
pages per case 



Briefs: 

pc^es per case 



Exhibits: 
pages per cose ' 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Contested 76 

motions! 77 

number per case ° 78 

76-78 



Written opinions 
by ALJ: 
pc^es per cose 



76 

77 

78 

76-78 



6.5 
3.6 
8.0 
5.3 



39 

16 

8 

39 



19.7 


3 


54 


16.7 


3 


48 


31.0 


31 


31 


19.1 


3 


54 


45.9 


6 


116 


26.4 


1 


92 


28.0 


28 


28 


35.6 


1 


116 


914.8 


37 


6547 


416.4 


18 


2841 


520.0 


520 


520 


679.7 


18 


6547 


146.1 


18 


438 


122.9 


15 


415 


28.0 


28 


28 


127.4 


15 


438 



21.7 


14 


29 


21.9 


5 


79 


II.O 


II 


II 


21.1 


5 


79 



Cases with full or partial hearing — 

FY: 76 77 78 76-78 

Number: 13 II I 25 



0-2 


3-9 


10-59 


60-199 


200+days, etc. 


(coses) 


7 


3 


3 








13 


7 


3 


1 








II 





1 











1 


14 


7 


4 








25 





















































































































































4 


3 








7 





4 


3 








7 








1 








1 





8 


7 








15 





1 


4 


2 





7 


1 


1 


4 


1 





7 








1 








1 


1 


2 


9 


3 





15 








2 


4 


7 


13 








3 


5 


3 


II 














1 


1 








5 


9 


II 


25 








2 


4 


1 


7 








2 


4 


1 


7 








1 








1 








5 


8 


2 


15 
























































































































































7 








7 





3 


3 


1 





7 








1 








1 





3 


II 


1 





15 



Procedures — 

The cose may be initiated by (I) the filing of the company's 
curtailment plan, or (2) when such a plan is filed as a 
proposed tariff amendment, it may be challenged by a 
complaint or a show cause order issued on the motion of the 
Commission. A NEPA statement may be required in the 
prehearing stage. 

When the case is ordered for hearing, it is referred to the 
CALJ's office. There is sometimes a delay before the case is 
assigned to an individual ALJ. Due to frequent 

postponements, often requested by staff, the CALJ waits 



until one week before the prehearing conference is scheduled 
to assign the case. In the meantime, all preliminary motions 
are handled by the Secretary to the FERC. 

After the ALJ has written the initial decision, briefs on 
exceptions are due in 30 days, unless the time is extended or 
shortened by order of the Commission, and briefs opposing 
exceptions are normally due 20 days after that. 

"The FERC Office of Administrative Law Judges did not 
submit data for these categories. 



136 



Agency: FEDERAL ENERGY REGULATORY COMMISSION 

Case type: Natural Gas Act 

Pipeline Emergency Curtailment Relief 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 12 12 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On AAerits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



AGENCY REVIEW (number of cases) 



1 








1 


























1 








1 











10 



























Review — 

Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 

10 
2 



77 







78 






76-78 

10 
2 



ELAPSED TIME DATA 
Stage of Case 


Cose 
Breakdow 


n FY 

76 

77 

78 

76-78 


Elapsed Time (days) 
Avg Min Max 

148.7 20 475 
148.7 20 475 


Distribution of Ca 
0-lmo l-4mo 


ses by Elq 
4-l2mo 


psed Time (cases) 
l-2yr 2yr+ 

1 




1 


N 
(coses) 


Prehearing Dote of application 
/ Date of hearing 
order 


All 
Cases 


2 


2 


4 


4 


5 


5 


12 



12 


Hearing Hearing order / 
A! I's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


186.0 
186.0 


45 
45 


339 
339 









3 



3 


7 



7 














10 



10 




All 

Other 

Coses 


76 

77 

78 

76-78 


99.5 
99.5 


87 
87 


112 
112 








2 


2 




















2 


2 


Posthearing ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


132.3 
132.3 


40 
40 


234 
234 








4 



4 


6 


6 















10 



10 




All 

Other 

Cases 


76 

77 

78 

76-78 


62.5 
62.5 






125 
125 


1 




1 








1 




1 














2 


2 


Total Time Application / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


492.1 
492.1 


259 
259 


743 

743 














3 


3 


6 


6 


1 





1 


10 



10 




All 

Other 

Coses 


76 

77 

78 

76-78 


185.0 
185.0 


132 
132 


238 
238 















2 


2 














2 



2 



137 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



Parties Petitioners, respon- 76 

dents, Intervenors 77 

(including agency): 78 

number per cose 76-78 

Paperwork Evidentiary docu- 76 

ments (excluding 77 

briefs)s 78 

number per cose 76-78 



Transcripts: 
pages per case 


76 

77 

78 

76-78 


Briefs: 


76 


FKiges per case 


77 

78 

76-78 


Exhibits: 


76 


pages per cose ° 


77 

78 

76-78 


Contested 

motions: 

number per cose ° 


76 

77 

78 

76-78 


Written opinions 
by ALJ: 
pages per cose 


76 

77 

78 

76-78 


Procedures— 





Coses with full or partial hearing — 

FY: 76 77 78 76-78 

Number: II II 



Prehearing 


ALJ prehearing 


76 


1.9 


& Hearing 


and hearing: 


77 


~ 


Time 


separate 


78 


— 




days per case 


76-78 


1.9 




ALJ prehearing 


76 







and hearing: 


77 







hours per case ° 


78 









76-78 


~ 




ALJ Travel: 


76 


__ 




hours per case ° 


77 









78 









76-78 






Time/Effort (days, poges, etc.) 
FY Avg Min Max 



7.7 



3.1* 



13.8 



13.8 



I 



22 



7.7 


3 


II 


13.7 


3 


24 


13.7 


3 


24 


223.7 


49 


530 


223.7 


49 


530 


88A 


22 


180 



180 



26 
26 



Distrib 


ution 


f Cases 


by Time 


/Effort Item 


H 


0-2 


3-9 


10-59 


60-199 


2C0+days, etc. 


(cases) 


9 


2 











II 






































9 


2 











II 





















































































































































7 


3 








10 









































7 


3 








10 





3 


7 








10 









































3 


7 








10 








1 


6 


4 


II 












































1 


6 


4 


II 








3 


4 





7 












































3 


4 





7 





















































































































































3 


7 








10 









































3 


7 








10 



The proceeding is initiated by the filing of a petition for 
relief by the distributor or user of natural gas. Tiie Office of 
Pipeline and Producer Regulation assigns the case to a 
member of the staff who may recommend that a hearing be 
held. When the case is ordered for hearing, it is referred to 
the CALJ's office. There is sometimes a delay before the 
case Is assigned to an individual ALJ. Due to frequent 
postponements, often requested by staff, the CALJ waits 
until one week before the prehearing conference is scheduled 
to assign the case. In the meantime, all preliminary motions 
are handled by the Secretary to the I^ERC. 



After the ALJ has written the initial decision, briefs on 
exceptions are due in 30 days, unless the time is extended or 
shortened by order of the Commission, and briefs opposing 
exceptions are normally due 20 days after that. 

"The FERC Office of Administrative Law Judges did not 
submit data for these categories. 



138 



Agency: FEDERAL ENERGY REGULATORY COMMISSION 

Case type: Natural Gas Act 

Producers Certificates 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 26 21 3 50 



MANNER OF TERMINATION (number of cases) 
Not on Merits- 
Settlement 
Withdrawal 
Dismissal 
Other 

On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o [Decision 
ALJ Decision w/o Hearing 



76 


77 


78 


76-78 












8 


8 


1 


17 


Review- 


76 


77 


78 


76-78 


1 






2 



1 

4 
5 


Yes: 


13 


10 





23 


1 
3 


1 
2 


No: 


13 


II 


3 


27 










Result- 


















Affirm 


II 


10 





21 


12 

I 


10 









22 

1 


Reverse 
Modify 


1 











! 









Remand/Other 


1 








1 



ELAPSED TIME DATA 
Stage of Case 


Case 
Breakdowi 


1 FY 

76 

77 

78 

76-78 


Elapsed Time (days) 
Avg Min Max 

172.7 39 587 

498.0 4338 
271.7 55 422 

331.1 4338 


Distribution of Coi 
0-lmo l-4mo 


ses by Elq 
4-l2mo 


psed Time (cases) 
l-2yr 2yr+ 

2 
2 4 
1 
5 4 


N 

[cases] 


Prehearing Date of application 
/ Date of hearing 
order 


All 
Cases 



3 

3 


10 
6 
1 

17 


9 

6 

1 

16 


21 

21 

3 

45 


Hearing Hearing order / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


258.3 
325.5 

287.5 


49 
47 

47 


415 
656 

656 








3 
2 

5 


7 

4 



II 


3 
4 


7 








13 

10 



23 




All 

Other 

Cases 


76 

77 

78 

76-78 


195.2 
142.5 
556.3 
213.9 


23 
37 
85 
23 


578 
343 
1485 
1488 


1 




1 


3 

5 

2 

10 


7 
6 

13 


2 


2 





1 
1 


13 

II 

3 

27 


Posthearing ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


234.3 
374.2 

295.1 


31 
39 

31 


1223 
2210 

2210 








7 

5 



12 


4 
3 



7 


1 
1 


2 


1 
1 


2 


13 
10 


23 




All 

Other 

Cases 


76 

77 

78 

76-78 


64.2 

147.8 

41.7 

95.8 








248 
619 
125 
619 


6 

4 

2 

12 


5 
3 


a 


2 
2 

1 
5 



2 

2 








13 

II 

3 

27 


Total Time Application / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


676.8 
1421.8 

1049.3 


213 
186 

186 


1691 
4680 

4680 














3 

.1 

4 


4 
2 

6 


3 

7 



10 


10 

10 



20 




All 

Other 

Cases 


76 

77 

78 

76-78 


451.5 
584.5 
869.7 
560.2 


250 

55 

423 

55 


724 
1318 
1543 
1543 










1 



1 


4 
4 

8 


7 

2 

2 

II 



4 

1 
5 


II 

II 

3 

25 



139 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



Time/Effort (days, pages, etc.) 
FY Avg Min Max 



Prehearing 


ALJ prehearing 


76 


2.9 


& Hearing 


and hearings 


77 


2.5 


Time 


separate 


78 


2.0 




days per case 


76-78 


2.6 




ALJ prehearing 


76 


~ 




and hearing: 


77 


~ 




hours per case ° 


78 


— 






76-78 


~ 




ALJ Travel: 


76 







hours per case ° 


77 


_ 






78 









76-78 


— 



Parties 



Paperwork 



Petitioners, respon- 76 
dents, interveners 77 

(including agency): 78 

number per cose 76-78 



Evidentiary docu- 
ments (excluding 
briefs): 
number per case 

Transcripts: 
pages F>er case 



Briefs: 

pages per cose 



Exhibits: 
pages per case ' 



Contested 
motions: 
number per case ' 



Written opinions 
by ALJ: 
pages per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



76.9 



19.9 
15.9 

18.1 



I 



12 
6 
2 

12 



5.3 


2 


16 


5.4 


2 


IS 


5.3 


2 


16 


17.6 





66 


24.2 


1 


68 


20.6 





68 


216.6 


10 


953 


197.0 


12 


695 


88.0 


88 


88 


204.2 


10 


953 


74.2 





149 


80.4 


15 


262 



262 



4 
32 

32 



Cases with full or partial hearing — 

FY: 76 77 78 76-78 

Number: 21 20 1 42 

Distribution of Cases by Time/Effort Item 



N 



0-2 


3-9 


10-59 


60-199 


200+days, etc. 


(cases) 


13 


7 


1 








21 


14 


6 











20 


1 














1 


28 


13 


! 








42 


















































































































































1 


10 


1 








12 


1 


7 


2 








10 




















2 


17 


3 








22 


1 


4 


6 


1 





12 


2 


1 


6 


1 





10 




















3 


5 


12 


2 





22 








6 


6 


9 


21 








7 


5 


8 


20 











1 





1 








13 


12 


17 


42 


1 


1 


2 


6 





10 








4 


3 


1 


8 




















1 


1 


6 


9 


[ 


18 













































































■ 




































































1 


2 


9 








12 





3 


7 








10 




















1 


5 


16 








22 



Procedures — 

The prehearing stage begins when the company files an 
application for relief fin this case a certificate). The Office 
of Pipeline and Producer Regulation assigns the cose to a 
member of the staff who may recommend that a hearing be 
held. When the case is ordered for hearing, it is referred to 
the CALJ's office. There is sometimes a delay before the 
cose is assigned to an individual ALJ. Due to frequent 
postponements, often requested by staff, the CALJ waits 
until one week before the prehearing conference is scheduled 
to assign the case. In the meantime, all preliminary motions 
are handled by the Secretary to the FERC. 



After the ALJ has written the initial decision, briefs on 
exceptions are due in 30 days, unless the time is extended or 
shortened by order of the Commission, and briefs opposing 
exceptions are normally due 20 days after that. 

°The FERC Office of Administrative Law Judges did not 
submit data for these categories. 



140 



Agency: FEDERAL ENERGY REGULATORY COMMISSION 

Case type: Federal Power Act 
Electric Rates 



Case-Closed Cords Submitted— 

FY: 76 77 78 76-78 

Number: 76 76 61 213 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



Ki 


42 


35 


119 


3 


1 


2 


6 


2 


1 


2 


5 


8 


1 


1 


10 


21 


31 


21 


73 



























AGENCY REVIEW (number of cases) 



Review — 

Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 77 



20 

56 



29 

47 



78 76-78 



21 
40 



20 
I 






70 
143 



56 
4 
6 

4 



ELAPSED TIME DATA 







Case 




Elapsed Time 


(days) 


Distribution of Cases by Elapsed Time (cases) 


N 


Stage of Cos 


e 
Complaint or show 


Breakdow 


n FY 
76 


Avg 

110.6 


Min 

27 


Max 

702 


0-lmo 


l-4mo 


4-l2mo 


l-2yr 

5 


2yr+ 




(coses! 


Prehearing 


All 


19 


37 


14 


75 




cause order / Date 


Cases 


77 


119.9 


25 


2577 


21 


41 


9 


3 


1 


75 




of hearing order 




78 


63.2 





453 


26 


27 


6 


1 





60 








76-78 


100.4 





2577 


66 


105 


29 


9 


1 


210 


Hearing 


Hearing order / 


With ALJ 


76 


474.6 


51 


1159 





1 


8 


9 


3 


21 




ALJ's decision 


Hearing on 77 


683.2 


223 


1640 








7 


12 


12 


31 






Merits 


78 


584.6 


105 


1859 





1 


4 


12 


4 


21 








76-78 


594.8 


51 


1859 





2 


19 


33 


19 


73 






All 


76 


352.3 


43 


1294 





4 


29 


19 


3 


55 






Other 


77 


439.5 


27 


1833 


1 


1 


20 


18 


5 


45 






Coses 


78 


381.2 


55 


1395 





3 


22 


11 


4 


40 








76-78 


388.6 


27 


1833 


1 


8 


71 


48 


12 


140 


Post hearing 


ALJ's decision / 


With 


76 


198.1 


34 


638 





7 


12 


1 





20 




Final agency 


Agency 


77 


304.2 


40 


749 





2 


21 


3 


1 


29 




action 


Review 


78 


341.7 


45 


681 





2 


11 


8 





21 








76-78 


285.1 


34 


749 





II 


44 


14 


1 


70 






All 


76 


56.4 





616 


30- 


20 


5 


1 





56 






Other 


77 


74.8 





375 


19 


17 


10 


1 





47 






Cases 


78 


79.5 





390 


16 


13 


10 


1 





40 








76-78 


68.9 





616 


65 


50 


25 


3 





143 


Total Time 


Complaint or show 


With 


76 


837.5 


290 


1762 








2 


7 


II 


20 




cause order / Final 


Agency 


77 


1179.3 


485 


3788 











6 


23 


29 




agency action 


Review 


78 


984.4 


185 


2374 








2 


3 


16 


21 








76-78 


1023.1 


185 


3788 








4 


16 


50 


70 






All 


76 


505.9 


80 


2091 


1 


1 


16 


32 


6 


55 






Other 


77 


599.4 


57 


2118 


' 


1 


10 


26 


9 


46 






Cases 


78 


529.8 


101 


1848 





1 


12 


21 


5 


39 








76-78 


543.3 


57 


2118 





3 


38 


79 


20 


140 



TIME AND EFFORT AT THE HEARING STAGE 



IH-em 



FY 



Cases with full or partial hearing — 

FY; 76 77 78 76-78 

Number: 49 69 58 176 

Time/Effort (days, pages, etc.) Distribution of Coses by Time/Effort Item 



Avg 



Min 



Max 



0-2 3-9 10-59 60-199 20O+days, etc. 



141 



N 
(cases) 



Prehearing ALJ preheoiring 76 

& Hearing and hearing; 77 

Time separate 78 

days per cose 76-78 

ALJ prehearing 76 

OTKf hearing; 77 

hours per cose ° 78 

76-78 



3.5 
4.6 
3.2 
3.8 



23 
36 
16 
36 



28 

35 

38 

101 








26 
15 
59 








4 
16 








50 
69 
57 
176 








ALJ Travels 
hours per cose ° 



76 

77 

78 

76-78 



Parties Petitioners, resprav- 76 

dents, interveners 77 

(including ogency): 78 

number per cose 76-78 



Paperwork Evidentiary docu- 
ments (excluding 
brief s)s 
number per cose 

Transcripts: 
pages per case 



Briefs: 

poges per case 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



4.3 


2 


II 


4.5 


2 


15 


5.0 


2 


10 


4.6 


2 


15 


30.5 





100 


48.3 


2 


202 


47.2 


8 


155 


42.9 





202 


364.5 


3 


2893 


514.6 


2 


4794 


320.7 


2 


2041 


409.7 


2 


4794 


86.5 


5 


400 


153.7 


14 


460 


165.0 


29 


543 


139.1 


5 


543 



I 19 

3 26 

I 17 

5 62 

5 1 
I 2 

I 

6 4 



3 
9 
12 

24 



19 
14 
44 

9 
19 
15 
43 

10 

11 

4 

25 








4 

8 

6 

18 

17 
9 
7 

33 

6 

9 

10 

25 



19 
31 
22 
72 

2 
II 

7 
20 



21 
31 
2! 

73 

21 
3! 
21 
73 

48 

69 

57 

174 

19 
31 
2! 
7! 



Exhibits: 
poges per ctuse ' 



76 

77 

78 

76-78 



Conlfested 76 

motions; 77 

number per cose ° 78 

76-78 



Written opinions 
by ALJi 
pages per cose 



76 

77 

78 

76-78 



15.3 


2 


39 


25.9 


■ 5 


88 


26.2 


7 


83 


22.9 


2 


88 



14 
22 
16 
52 



2! 
31 
2! 
73 



Procedures — 

The case is initiated by the filing of a rate by an electric 
company. An investigation may be initiated by a third-party 
complaint or by the Commision on its own motion. The rate 
may then be suspended pending a hearing. 

When the case is ordered for hearing, it is referred to the 

CAI I's office. There is sometimes a delay before the case is 

assigned to an individual ALJ. Due to frequent 

postponements, often requested by staff, the CALJ waits 
until one week before the prehearing conference is scheduled 



to assign the case. In the meantime, all preliminary motions 
are handled by the Secretary to the FERC. 

After the ALJ has written the initial decision, briefs on 
exceptions are due in 30 days, unless the time is extended or 
shortened by order of the Commission, and briefs opposing 
exceptions are normally due 20 days after that. 

°The FERC Office of Administrative Law Judges did not 
submit data for these categories. 



I« 



Agency: FEDERAL ENERGY REGULATORY COMMISSION 

Case type: Federal Power Act 
Licensed Projects 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: 7 8 3 18 



MANNER OF TERMINATION (number of cases) 



Not on Merits- 
Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 



ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76 



77 



78 76-78 



3 


1 





4 














1 








1 














3 


7 


3 


13 



























AGENCY REVIEW (number of cases) 



Review- 


76 


77 


78 


76-78 


Yes: 
No: 


3 

4 


7 
1 


3 



13 
5 


Result- 










Affirm 
Reverse 
Modify 
Remand/Other 


3 





6 


1 



2 
1 





II 

1 
1 




ELAPSED T 


ME DATA 
e 


Case 
Breakdown FY 


Elarsed Time (days) 
Avg Min Max 


Distribution of Cases by Elapsed Time (cases) 


N 


Stage of Cos 


0-lmo 


l_%no 4- 


2mo 


l-2yr 


2yr+ 


(cases) 


Prehearing 


Date of application 
/ Date of hearing 
order 


All 
Cases 


76 

77 

78 

76-78 


1068.4 

500.3 

2309.7 

1022.8 


54 

10 

676 

10 


3949 
1191 
3285 
3949 



1 


1 


1 
1 


2 


1 
1 


2 


3 
3 

1 
7 


2 
2 
2 
6 


7 

8 

3 

IB 


Hearing 


Hearing order / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


676.3 
676.0 
1028.0 
757.3 


420 
336 
833 
336 


1153 
1241 
1177 
1241 















2 

2 


2 
3 

5 


1 

2 
3 
6 


3 

7 

3 

13 






All 

Other 

Cases 


76 

77 

78 

76-78 


563.8 
19.0 

454.8 


202 
19 

19 


1072 
19 

1072 




1 



1 








2 


2 


1 



1 


1 



1 


4 

1 


5 


Postlieuring 


ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


317.7 
300.9 
478.3 
345.7 


98 
106 
327 

98 


577 
516 
604 
604 








1 

2 

3 


1 
2 

1 
4 


1 

3 
2 
6 








3 

7 

3 

13 






All 

Other 

Cases 


76 

77 

78 

76-78 


93.3 
41.0 

82.8 



41 




268 

41 

268 


2 



2 


1 
1 


2 


1 



1 














4 
1 


5 


Total Time 


Application / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

7^-78 


1455.0 
1544.1 
3816.0 
2047.8 


608 

800 

2254 

608 


2427 
2512 
4722 
4722 




















1 




1 


2 

7 

3 

12 


3 

7 

3 

13 






All 

Other 

Cases 


76 

77 

78 

76-78 


2181.0 
91.0 

1763.0 


891 
91 

91 


4151 
91 

4151 










1 



1 









1 







3 



4 


4 
1 


5 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



FY 



Cases with full or partial hearing— 

FY: 76 77 78 76-78 

Number! 5 8 3 16 



Time/Effort (days, pages, etc.) Distribution of Cases by Time/Effort Item 



Avg 



Min 



Max 



143 



N 



0-2 3-9 10-59 60-199 200+days, etc. (cases) 



Prehearing ALJ prehearing 
& Hearing and hearing: 
Time separate 

days per case 

ALJ prehearing 
and hearing: 
hours per case ° 



ALJ Travel: 
hours per case ° 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



12.2 

19.0 

6.7 

14.6 



25 
67 
15 
67 



Parties 



Paperwork 



Petitioners, respon- 
dents, interveners 
(including agency): 
number per cose 


76 

77 

78 

76-78 


8,0 
6.1 
5.3 
6.4 


3 
2 
4 
2 


16 

II 

7 

16 


Evidentiary docu- 
ments (excluding 
briefs): 
number per case 


76 

77 

78 

76-78 


97.3 

116.6 

57.0 

98.4 


65 

19 

2 

2 


161 

298 

95 

298 


Transcripts: 
pages per case 


76 

77 

78 

76-78 


1818.0 

2780.4 

905.3 

2128.1 


15 
130 
122 

15 


4047 
9827 
2096 
9827 


Briefs: 

pages per cose 


76 

77 

78 

76-78 


249.0 
253.4 
115.0 
220.5 


179 
75 
81 
75 


383 
480 
182 
480 


Exhibits: 


76 











pages per cose ° 


77 

78 

76-78 


- 


~ 


~ 


Contested 

motions: 

number per case ° 


76 

77 

78 

76-78 


;; 


~ 


~ 


Written opinions 
by ALJ: 
pages per case 


76 

77 

78 

76-78 


49.3 
52.1 
38.3 
48.3 


34 
13 
21 
13 


62 
94 
68 
94 
































3 

4 

I 

8 




























2 

4 
2 
8 

























4 

6 

2 

12 



3 
16 











3 

7 

3 

13 

3 

7 

3 

13 

5 

8 

3 

16 

3 

7 
3 
13 











3 

7 
3 

13 



Procedures— 

The prehearing stage begins when the company files an 
application for relief. The Office of Electric Power 
Regulation assigns the case to a member of the staff who 
may recommend that a hearing be held. When the case is 
ordered for hearing, it is referred to the CALJ's office. There 
is sometimes a delay before the case is assigned to an 
individual ALJ. Due to frequent postponements, often 

requested by staff, the CAl I waits until one week before the 

prehearing conference is scheduled to assign the cose. In the 
meantime, all preliminary motions are handled by the 
Secretary to the FERC. 



After the ALJ has written the initial decision, briefs on 
exceptions are due in 30 days, unless the time is extended or 
shortened by order of the Commission, and briefs opposing 
exceptions are normally due 20 days after that. 

A NEPA statement may be required in the prehearing 
stage. 

"The FERC Office of Administrative Law Judges did not 
submit data for these categories. 



144 



FEDERAL MARITIME COMMISSION 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Case Type 



Cases 
Pending at 
FY Start of FY 



New Cases 

Referred to 

Office of ALJs 



Cases Cases 

Terminated Pending at 
by Agency End of FY 



Shipping Act, 1916 
Reparations 

46 use 821 
46 CFR 502 

Determination upon formal complaint whether any rate, 
fare, charge, rule, regulation, or practice of common carriers 
by water or others subject to the Act, is lawful or unlawful, 
and if found unlawful, whether the payment of a reparation to 
the complainant should be directed. 



(75) 




22 


19 




76 


40 


55 


35 


60 


77 


60 


17 


40 


37 


78 


37 


29 


28 


38 



76-78 



101 



103 



Shipping Act, 1916 
Freight Forwarder Licensing 

46 use 841b 
46 CFR 502 

Determination of whether an applicant for a forwarder's 
license, meets the Act's qualifications or whether an existing 
licensee no longer does. 



(75) 




4 


3 




76 


3 


2 


5 





77 





3 


1 


2 


78 


2 


1 





3 



76-78 



Shipping Act, 1916 
Agreements 

46 use 814 
46 CFR 502 

Determination of whether any agreement between common 
carriers, terminal operators, freight forwarders or others 
subject to the Act or the Commission's regulations should be 
approved, modified, or cancelled. 



(75) 




8 


8 




76 


19 


7 


6 


20 


77 


20 


15 


10 


25 


78 


25 


2 


6 


21 



76-78 



24 



22 



Intercoasta! Shipping Act, 1 933 
Proposed Rates 

46 use 845 
46 CFR 502 

Proceedings to investigate and determine the lawfulness of 
new or changed rates, fares, charges, regulations or practices 
contained in any schedule filed by a carrier engaged in 
domestic off-shore trade. Filings may be suspended up to four 
months during pendency of hearing. 



(75) 




1! 


18 




76 


20 


13 


10 


23 


77 


23 


6 


10 


19 


78 


19 


2 


9 


12 



76-78 



21 



29 



145 



FEDERAL MARITIME COMMISSION (continued) 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Case Type 



Cases 
Pending at 
FY Start of FY 



New Cases 

Referred to 

Office of ALJs 



Cases Cases 

Terminated Pending at 
by Agency End of FY 



Shipping Act, 1916 
Civil Penalty (Discriminatory Practice) 

46 use 8 1 5 
k(> CFR 502 

Proceedings to determine whether a civil penalty should be 
assessed for discriminatory action by common carriers and 
other persons subject to the Act. 



(75) 




2 


1 




76 


8 


4 


3 


9 


77 


9 





4 


5 


78 


5 


2 


3 


4 



76-78 



10 



Shipping Ac*, 1916 
Special Docket 

46 use 817(b)(3) 
46 CFR 502 

Applications by a common carrier for permission to waive 
the collection of undercharges or to refund any portion of 
freight charges on the grounds of clerical or administrative 
error, where no discrimination will result. 



(75) 



76 


10 


17 


IS 


12 


77 


12 


59 


35 


36 


78 


36 


52 


63 


25 



76-78 



128 



113 



Miscellaneous 



(75) 












76 














77 


1 








1 


78 


1 





1 






76-78 



146 



Agency: FEDERAL MARITIME COMMISSION 



Cose type: Shipping Act, 
Reparations 



1916 



Case-Closed Cords Submitted— 

FY: 76 77 78 76-78 

Number: 31 36 23 90 



MANNER OF TERMINATION (number of coses) ° 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



4 








4 














8 


15 


8 


41 





1 





1 


4 


8 


8 


20 














5 


12 


7 


24 



AGENCY REVIEW (number of coses) 



Review- 
Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 

II 
20 



77 

32 

4 



22 
3 
2 
5 



78 76-78 



22 
I 



19 
I 


2 



65 
25 



46 
6 
2 

II 



ELAPSED TIME DATA 



Notes— 

° The cases listeci as terminated by "ALJ Decision w/o 
Hearing" were subject to the "shortened procedure" 
authorized by 46 CFR 502.181. Consent of the parties is 
required for a case to be conducted without an oral iiearing. 





Case 
Breakdowi 


n FY 

76 

77 

78 

76-78 


Elapsed 


lime 


tdoysj 


Distribution of Ca 


ses by biq 


psed li 


me (cases 


) N 


Stage of Case 


Avg 

2.0 
2.3 
2.9 
2.3 


Min 








Max 

9 
I.I 
14 
14 


0-lmo 


l-Amo 


'l-l2mo 


l-2yr 







2yr+ 







(coses) 


FVehearing Filing of complaint 
/ Referral to CALJ 


All 
Coses 


31 

29 
20 
80 














31 
29 
20 
80 


IHearing Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


485.0 
678.5 
682.1 

641.3 


222 
113 
105 

105 


611 
1019 
1452 
1452 










1 
1 

2 


1 
1 

2 
4 


3 
2 

1 
6 




4 
4 
8 


4 

8 

8 

20 




All 

Other 

Cases 


76 

77 

78 

76-78 


317.9 
286.4 
461.5 
336.1 


9 

20 

2 

2 


1760 
1064 
2429 
2429 


3 

1 
1 
5 


13 

11 

5 

29 


6 

8 

5 

19 



5 

1 
6 


5 
3 
3 

II 


27 
28 

15 
70 


Postheoring ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


198.2 
227.8 
219.0 
219.8 


29 
25 
27 
25 


767 
594 
1067 
1067 


4 

6 

5 

15 


1 
9 

7 
17 


5 

6 

5 

16 



II 

3 
14 


1 


2 
3 


11 
32 
22 
65 




All 

Other 

Coses 


76 

77 

78 

76-78 




7.5 

28.0 

2.3 






28 





30 
28 
30 


20 
4 
1 

25 



























20 
4 
1 

25 


Total Time Filing of complaint 
/ Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


444.5 
541.8 
744.7 
592.5 


74 

124 

97 

74 


1379 
1098 
2461 
2461 








3 

2 
5 


3 

6 

8 

17 


2 
13 

2 
17 


3 

6 

7 

16 


II 
25 
19 
55 




All 

Other 

Coses 


76 

77 

78 

76-78 


393.8 

165.5 

1160.0 

387.9 


10 

47 

1160 

10 


1761 

283 

1160 

1761 


3 



3 


8 

2 



10 


4 
2 

6 









5 

1 
6 


20 
4 

1 
25 



147 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing- 















FY 




76 


77 


78 


76-78 
















Number 




7 


10 


II 


28 










Time/Effort (days, pages, etc.) 


Distribut 


ion of Cases by Time/Effort Item 


N 




Item 


FY 

76 

77 

78 

76-78 


Avg 

3.1 
2.0 
4.5 
3.4 


Min 


Max 


0-2 

5 

6 

7 

18 


3-9 

5 

2 

5 

12 


10-59 


60-199 20O«kiys, etc. 







(coses) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearing: 
separate 
days per case 


7 

3 

22 

22 





1 
1 


10 

8 

13 

31 




ALJ prehearing 
and hieoring: 
hours per case 


76 

77 

78 

76-78 


10.6 

4.8 

20.0 

13.0 




36 

14 

120 

120 


3 
5 
2 

10 


3 
1 
6 

10 


4 
2 
4 
10 







1 
1 








10 

8 

13 

31 




ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 


48.0 
62.4 
58.3 


24 
48 
24 


72 
96 
96 















1 
3 

4 






1 

2 
3 









2 
5 

7 


Parties 


Petitioners, respon- 
dents, interverK)rs 
(including agency); 
number per case 


76 

77 

78 

76-78 


8.7 
6.4 
7.2 
7.8 


2 

3 
3 
2 


83 
19 
65 
83 


1 




1 


26 

6 

20 

52 


3 
2 
2 

7 




1 


1 
2 








31 
8 

23 
62 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs): 
number per cose 


76 

77 

78 

76-78 


20.5 
11.2 
28.1 
21.2 


2 

4 

1 
1 


35 
20 
100 
100 


1 



1 

2 



2 

2 


7 

3 

6 

16 






1 
1 








8 

5 

8 

21 




Transcripts: 
pages per case 


76 

77 

78 

76-78 


347.5 
135.6 
501.9 
357.6 


31 
18 
14 
14 


927 

447 

2984 

2984 















2 
5 
2 
9 




2 

1 

5 
8 


6 

2 

6 

14 


10 

8 

13 

31 




Briefs: 

pages per case 


76 

77 

78 

76-78 


142.3 
40.2 
175.1 
127.7 


98 
17 
31 
17 


217 

63 

733 

733 















4 
2 
6 




3 

1 

4 
8 


1 


2 
3 


4 
5 
8 
17 




Exhibits: 
pages per ctise 


76 

77 

78 

76-78 


252.5 
118.8 
262.1 
219.5 


3 

17 

2 

2 


1200 

266 

1184 

1200 





1 
1 


1 




1 


1 

2 
1 
4 




4 

3 

4 

11 


2 
1 
2 

5 


8 

6 

8 

22 




Contested 
motions; 
numlier F»er case 


76 

77 

78 

76-78 


2.5 

1.0 
4.0 
3.3 


1 
1 
1 
1 


5 

1 

12 
12 


3 
1 

4 
8 


1 


2 
3 





1 
1 
















4 

1 

7 
12 




Written opinions 
by ALJ: 
poges per case 


76 

77 

78 

76-78 


10. 1 
19.2 
20.2 
17.1 


2 
6 
3 
2 


34 
52 
92 
92 


1 




1 


5 
1 

8 
14 


3 

5 

7 

15 







1 
1 








9 

6 

16 

31 



Procedures— 

The case is initiated by the filing of a complaint by the 
person seeking reparations. The cose is forwarded to the 
CALJ's office almost immediately, resulting in very little 
clasped time in the prehearing stage. After the ALJ's initial 
decision is issued, tne parties have 22 days in which to file 
exceptions. Replies are due in 22 days. The Commission 
may, within 45 days, determine to review on its own motion. 



148 



Agency: FEDERAL MARITIME COMMISSION 

Case type: Shipping Act, 1916 

Freight Forwarder Licensing 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: 5 11 7 



MAI^INER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 














1 




1 















4 





1 





















76-78 



2 




AGENCY REVIEW (number of cases) 



Review- 


76 


77 


78 


76-78 


Yes: 
No: 


4 
1 


1 



1 



6 

1 


Result- 










Affirm 
Reverse 
Modify 
Remand/Other 


3 

1 





1 










1 


4 
1 


1 



ELAPSED T 
Stage of Caj 


IME DATA 
se 

Filing of complaint 
or application / 
Referral to CALJ 


Case 
Breakdow 


n FY 

76 

77 

78 

76-78 


Elapsed Time (days) 
Avg Min Max 

240.8 108 337 
508.0 508 508 

109.0 109 109 

260.1 108 508 


Distribution of Coses by Ela 
0-lmo l-Amo 'l-l2mo 


psed Tir 
l-2yr 



1 


1 


ne (cases) 
2yr+ 







N 
(coses) 


Prehearing 


All 
Cases 








1 



1 

2 


4 



4 


5 

1 
1 
7 


Hearing 


Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


241.3 

339.0 
260.8 


175 

339 

175 


290 

339 
339 














4 

1 
5 














4 

1 
5 






All 

Other 

Coses 


76 

77 

78 

76-78 


143.0 
42.0 

92.5 


143 
42 

42 


143 
42 

143 










1 



I 


1 




1 














1 
1 


2 


Postheoring 


ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


183.3 
63.0 
158.0 
159.0 


27 

63 

158 

27 


474 

63 

158 

474 


1 




1 


1 
1 


2 


1 



1 

2 


1 




1 








4 
1 

1 
6 






All 

Other 

Cases 


76 

77 

78 

76-78 














1 




[ 




























1 




1 


Total Time 


Filing of complaint 
or application / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


644.3 
613.0 
606.0 
632.7 


405 
613 
606 
405 


986 
613 
606 
986 




















3 

1 
1 

5 


1 




1 


4 
1 

1 
6 






All 

Other 

Coses 


76 

77 

78 

76-78 


468.0 

468.0 


468 
468 


468 
468 




















1 




1 








1 



1 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



Tinne/Effort (days, [xiges, etc.) 
FY Avg Min Max 



149 
Cases with full or partial hearing — 

FY: 76 77 78 76-78 

Numbers k \ 5 

Distribution of Cases by Time/Effort Item N 

0-2 3-9 10-59 60-199 2004<kiys, etc. fcoses) 



Prehearing 
& Hearing 
Time 


ALJ prehearing 

and hearing: 
separate 
days per cose 


76 

77 

78 

76-78 




ALJ prehearing 

and bearing; 
hours per cose 


76 

77 

78 

76-78 




ALJ Travel: 
hours per case 


76 

77 

78 

76-78 



1.8 



I 



Parties 



Paperwork 



PetitionerSs respcn- 76 
dents, intervenors 77 

(including agency): 78 

number per cose 76-78 



Evidentiary docu- 
ments (excluding 
briefs): 
number per cose 

Transcripts: 
pc^es per cose 



Briefs: 

poges per case 



Exhibits: 
pages per case 



Contested 
motions: 
number per cose 



Written opinions 
by ALJ: 
pages per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



3.0 
2.0 


3 

1 


3 
3 


4.0 


1 


9 


0.0 
5.2 


10 

1 


10 
10 



28.0 



24 



32 



28.0 


24 


32 


3.0 


3 


3 


3.0 
3.0 


3 
3 


3 
3 


10.7 


2 


20 


7.0 
9.8 


7 
2 


7 
20 


n4.5 


M 


265 


282.0 
148.0 


282 
II 


282 
282 


30.8 


12 


47 


91.0 
42.8 


91 
12 


9! 
9! 


152.0 


19 


270 


219.0 
168.8 


219 
19 


219 
270 


2.0 

2.0 


2 
2 


2 
2 


17.8 


11 


29 


25.0 
19.2 


25 

II 


25 
29 





I 

2 

2 



2 






5 

I 
6 




I 





I 

2 













Procedures — 

These cases may arise in two ways. First, a complaint may 
be filed against an existing license holder by another party or 
by the Commission on its own motion, after which a 
suspension or revocation hearing begins. Secondly, if an 
application for a license or an amendment to a license is 
denied, a hearing may be held. Such a case is referred to the 



CAI I's office when a formal order of investigation is issued. 

After the Al I's decision is issued, the parties have 22 days 

in which to file exceptions. Replies ore due in 22 days. The 
Commission may, within 45 days, determine to review on its 
own motion. 



ISO 



Agency: FEDERAL MARITIME COMMISSION 

Case type: Shipping Act, 1916 
Agreements 



Case-Closed Cords Sutimitfed— 

FY: 76 77 78 76-78 

Number: 6 10 6 22 



MANNER OF TERMINATION (number of cases) ° 

Not on Merits — 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



'6 


77 


78 


76-78 














1 








1 


1 


7 


4 


12 














3 


3 


1 


7 














1 





1 


2 



AGENCY REVIEW (number of cases) 



Review — 


76 


77 


78 


76-78 


Yes: 
No: 


5 

1 


10 



4 
2 


19 
3 


Result- 










Affirm 
Reverse 
Modify 
Remand/Other 


3 
1 



1 


9 

1 



3 

1 



15 
1 

2 
1 



ELAPSED TIME DATA 





« 


Cose 
Breakdown FY 


blopsed 


Time 


(days) 


Distribution of Ca 


ses by Elq 


psedTi 


me (cases 


' N 


Stage of Cos 


Avg 


Min 


Max 


0-lmo 


l-4mo 


4-l2mo 


l-2yr 


2yr+ 


(coses) 


Prehearing 


Filing of complaint 
or application / 
Referral to CALJ 


All 
Cases 


76 

77 

78 

76-78 


231.0 
293.9 
282.0 
273.1 


63 

7 




727 

1000 

681 

1000 



2 
1 
3 


3 
2 

5 


2 
3 
3 
8 


1 
2 

1 
4 



1 


1 


6 
10 

5 
21 


Hearing 


Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


360.7 

381.0 

1019.0 

463.4 


178 

220 

1019 

178 


584 

616 

1019 

1019 














2 
2 

4 


1 
1 


2 





1 
1 


3 
3 

1 
7 






All 

Other 

Cases 


76 

77 

78 

76-78 


429.0 
419.6 
872.2 
572.3 


141 
76 
31 
31 


810 
1319 
2087 
2087 









4 
1 
5 


2 
1 

2 
5 








1 

2 
2 
5 


3 

7 

5 

15 


Posthearing 


ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


517.6 
105.2 
245.0 
243.2 


10 
14 
27 
10 


1159 
328 
896 

1159 


1 

5 
3 
9 



1 


1 


2 
4 

6 








2 

1 
3 


5 
10 

4 
19 






All 

Other 

Cases 


76 

77 

78 

76-78 




107.5 
71.7 




35 





180 
180 


1 



1 





1 
1 





1 
1 














1 


2 
3 


Total Time 


Filing of complaint 
or application/ 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


1094.0 
807.1 

1163.0 
946.1 


377 
211 
296 
211 


1696 
1395 
2305 
2305 

















1 
1 
2 


2 

4 

6 


3 

5 

2 

10 


5 
10 

3 
18 






All 

Other 

Cases 


76 

77 

78 

76-78 


873.0 

1290.5 
II5I.3 


873 

663 

663 


873 

1918 
1918 






















1 

1 


1 


1 
2 


1 


2 
3 



Notes— 

*" The cases listed as terminated by "ALJ Decision w/o 
Hearing" were subject to the "shortened procedure" 
authorized by 46 CFR 502.181. Consent of the parties is 
required for a case to be conducted without an oral hearing. 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



Time/Effort (days, pages, etc.) 
FY Avg MIn Max 



Coses with full or partial hearing— 

FY: 76 77 78 76-78 

Number: 3 3 2 8 

Distribution of Cases by Time/Effort Item 
0-2 3I9 10-59 60-199 20aKlays, etc. 



151 



N 
(cases) 



Prehearing ALJ prehearing 
& Hearing and hearing: 
Time separate 

days per case 

ALJ prehearing 
and hearing: 
hours per case 



ALJ Travel: 
hours per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Parties 



Paperwork 



13.8 
8.7 
4.0 
9.3 

75.8 
47.3 
17.5 
49.3 



6 
I 
I 

3 
36 



43 
12 
10 
43 

247 
63 
52 

247 



Petitioners, respon- 
dents, intervenors 
(including ogency); 
number per cose 


76 

77 

78 

76-78 


27.8 
10.3 
15.7 
19.5 


13 
9 
8 
8 


57 
12 
24 
57 


Evidentiary docu- 
ments (excluding 
briefs): 
number F>er cose 


76 

77 

78 

76-78 


55.5 
81.3 
31.0 
58.7 


8 
47 
14 

8 


107 

126 

48 

126 


Transcripts: 
pages per case 


76 

77 

78 

76-78 


1836.0 

1264.7 

430.3 

1224.6 


40 

897 

II 

II 


5211 
1876 
1258 
521! 


Briefs: 

pages per case 


76 

77 

78 

76-78 


370.5 
293.0 
190.0 
318.9 


22 

206 

190 

22 


673 
415 
190 
673 


Exhibits: 
pages per cose 


76 

77 

78 

76-78 


652.0 
683.7 
733.0 
680.6 


14 
231 
161 

14 


1914 
1043 
1305 
1914 


Contested 
motions: 
number per case 


76 

77 

78 

76-78 


4.0 
4.5 
1.8 
3.1 


1 
3 

1 
1 


10 
6 
3 

10 


Written opinicms 
by ALJ: 
pages per case 


76 

77 

78 

76-78 


65.5 
43.7 
22.0 

51.9 


13 
32 
22 

13 


119 
58 
22 

119 



I 

4 

I 

2 
2 
5 






6 

2 

4 

12 


















3 
3 
2 
8 

3 
3 

6 

2 
3 



5 

3 

4 

12 

5 

3 

4 

12 






6 
3 

6 
15 

4 
3 
2 
9 

5 

3 

4 

12 

4 
3 
I 
8 

4 
3 
2 
9 

3 
2 

4 
9 

4 
3 



Procedures — 

These cases may arise in two ways. First, a complaint may 
be filed against on existing license holder by another party or 
by the Commission on its own motion, after which a 
suspension or revocation hearing begins. Secondly, if an 
application for a license or an amendment to a license is 
denied, a hearing may be held. Such a case is referred to the 



CALJ's office when a formal order of investigation is issued. 

After the Al I's decision is issued, the parties have 22 days 

in which to file exceptions. Replies are due in 22 days. The 
Commission may, within 45 days, determine to review on its 
own motion. 



152 



Agency: FEDERAL MARITIME COMMISSION 

Case type: Intercoastal Shipping Act, 1933 
Proposed Rates 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: 10 1 I 6 27 



MANNER OF TERMINATION (number of cases) ° 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 















1 








1 


7 


7 


2 


16 





2 





2 


1 


2 


3 


6 














1 





1 


2 



AGENCY REVIEW (number of coses) 
Review— 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



7 7 4 

1 



1 I 



76-78 

21 
6 



ELAPSED TIME DATA 





Case 
Breakdow 


n FY 

76 

77 

78 

76-78 


Elapse<i 


Time 


(days) 


Distributio( 


1 of Ca 


ses by Elq 


psed Tir 


ne (cases) 


N 


Stage of Case 


Avg 

384.1 

159.9 

76.2 

230.0 


Min 

27 


29 



Max 

2120 

1069 

239 

2120 


0-lmo 


l-4mo 


'l-l2mo 


l-2yr 



1 


1 


2yr+ 

2 

1 


3 


(cases) 


Prehearing Notice of rate 

change recieved / 
Referral to CALJ 


All 
Cases 


4 

7 

2 

13 


4 
1 
2 

7 




1 
1 
2 


10 

11 

5 

26 


Hearing Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


252.0 

1348.0 

944.7 

963.7 


252 
574 
522 
252 


252 
2122 
1403 
2122 














1 



1 




1 
1 

2 




1 

2 
3 


1 

2 
3 
6 




All 

Other 

Cases 


76 

77 

78 

76-78 


289.8 
677.1 
573.3 
496.3 


27 
51 
90 
27 


781 
1418 
1395 
1418 


1 




1 


4 
2 

1 
7 




1 

1 

2 


3 
3 

6 


1 

3 
1 
5 


9 

9 

3 

21 


Posthearing ALJ's decision / 
Final agency 
action 


With 

Agerxry 

Review 


76 

77 

78 

76-78 


161.0 
194.9 
390.4 
230.1 


10 
15 
24 
10 


935 
922 
978 
978 


4 
5 
2 

II 


2 
2 


4 









1 

2 
3 


1 
1 
1 
3 


7 

9 

5 

21 




All 

Other 

Cases 


76 

77 

78 

76-78 






36.0 

6.0 






36 








36 

36 


3 
2 


5 





1 
1 




















3 
2 

1 
6 


Total Time Notice of rote 
change / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


1000.7 
1051.9 
1359.4 
1108.0 


122 
133 
304 
122 


2692 
3425 
1296 
3425 














3 
3 

1 

7 


1 

2 

3 


3 

4 

4 

11 


7 

9 

5 

21 




All 

Other 

Cases 


76 

77 

78 

76-78 


274.3 
1418.0 

731.8 


55 
1418 

55 


594 
1418 

1418 








1 




1 


1 




1 


1 




1 



2 



2 


3 
2 

5 



Notes — 

° The cases listed as terminated by "ALJ Decision w/o 
Hearing" were subject to the "shortened procedure" 
authorized by 46 CFR 502.181. Consent of the parties is 
required for a case to be conducted without on oral hearing. 



TIWIE AND EFFORT AT THE HEARING STAGE 



litem 



Time/Effort (days, poges, etc.) 
FY Avg Min Max 



Cases with folt or partial hearing — 

FYi 76 77 78 76-78 

Numbers 3 5 4 12 

Distribution of Coses by Time/Effort Item 
0-2 3I9 10-59 60-199 200+days, etc. 



153 



N 
(cases) 



Prehearing ALJ prehearing 
& Hearing csid hearings 
Time separate 

days per cose 

ALJ prehearing 
dnd hearing; 
hours per cose 



ALJ Travel: 
hours per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Parties 



Paperwork 



3.3 
6.8 
15.4 
8.9 

8.8 
28.4 
70.6 
37.9 

48.0 



48.0 



48 



48 



IS 
56 
56 

23 

75 

283 

283 

48 



48 



Petitioners, respon- 
dents, interveners 
(including agency): 
number per cose 


76 

77 

78 

76-78 


12.3 
13.8 
IL2 
12.4 


3 

5 
6 
3 


50 
28 
20 
50 


Evidentiary docu- 
ments (excluding 
briefs): 
number per cose 


76 

77 

78 

7&-78 


15.3 
27.3 

131.3 
54.9 


4 
4 
18 
4 


30 

61 

281 

281 


Transcripts: 
pages per case 


76 

77 

78 

76-78 


246.5 
665.0 
1697.8 
914.3 


15 
53 
25 
15 


655 
1815 
6470 
6470 


Briefs: 

pages per case 


76 

77 

78 

76-78 


51.5 
224.5 
387.0 
240.2 


23 

27 

145 

23 


80 
595 
632 
632 


Exhibits: 
pages per cose 


76 

77 

78 

76-78 


288.7 

368.0 

2036.7 

844.8 


48 

33 

311 

33 


584 

876 

3349 

3349 


Contested 
motions: 
number per cose 


76 

77 

78 

76-78 


10.0 
2.7 
2.7 
3.7 


10 
2 
1 
1 


10 
3 
4 

10 


Written opinions 
by ALJ: 
pages per case 


76 

77 

78 

76-78 


18.0 
43.0 
35.8 
33.1 


16 
38 
17 
16 


20 
48 
50 
50 



2 
2 
2 
6 

2 

2 
4 


































I 
1 

2 








2 
I 
I 

4 


3 

3 






7 

3 

3 

13 

I 

2 

3 


















2 
2 
4 









2 
2 

4 

2 
I 

2 
5 

I 












I 


I 














I 


















I 

I 

2 
2 
3 
7 


2 
2 

4 

2 
3 
3 
8 














4 

5 

5 

14 

4 
5 
5 
14 

I 






9 

5 

6 

20 

3 
4 
3 
10 

4 

5 

5 

14 

2 

4 
3 
9 

3 

4 

3 

10 



Procedures — 

The prehearing stage Is begun by the carrier's filing of the 
rate which gives the Commission notice of the rate change. 
The Commission may then order a preliminary Investigation 
and, where warranted, Issue a formal order of Investigation at 
which point the case is referred to the CALJ's office. 
Intervention by Interested parties is common. 



After the ALJ's initial decision Is Issued, the parties have 
22 days In which to file exceptions. Replies are due in 22 
days. The Commission may, within 45 days, determine to 
review on its own motion. 



154 
Agency: FEDERAL MARITIME COMMISSION 

Case type; Shipping Act, 1916 

Civil Penalty (Discriminatory Practice) 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 3 3 3 9 



MANNER OF TERMINATION (number of cases) ° 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 






1 














2 


1 














1 



1 




1 










2 



76-78 

I 


3 




AGENCY REVIEW (number of cases) 



Review- 


76 


77 


78 


Yes: 
No: 


2 

1 


2 

1 


3 



Result- 








Affirm 
Reverse 
Modify 
Remand/Other 


1 


1 



1 


1 



2 




1 



76-78 

7 
2 



ELAPSED TIME DATA 



Notes — 

° The cases listed as terminated by "ALJ Decision w/o 
Hearing" were subject to the "shortened procedure" 
authorized by 46 CFR 502.181. Consent of the parties is 
required for a case to be conducted without an oral hearing. 





Case 
Breakdowi 


T FY 

76 

77 

78 

76-78 


Elapse<) 


Time 


Ways) 


Distributic 


inof C« 


ses by tia 


psedTir 


ne (cases 


» N 


Stage of Case 


Avg 

457.7 
316.3 
328.0 
367.3 


Min 


275 
ISO 




Max 

956 
349 
610 
956 


O-lmo 


l-Amo 


4-l2mo 


l-2yr 

1 


1 
2 


2yr+ 

1 




1 


(cases) 


Prehearing Filing of complaint 
/ Referral to CALJ 


All 
Cases 


1 



1 









3 
2 
5 


3 
3 
3 
9 


Hearing Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


926.0 

688.0 

1365.0 

993.0 


926 

688 
1365 
688 


926 

688 

1365 

1365 





















1 


1 


1 



1 

2 


1 
1 
1 
3 




All 

Other 

Cases 


76 

77 

78 

76-78 


338.0 
379.5 
1465.5 
727.7 


86 

94 

293 

86 


590 

665 

2638 

2638 








1 
1 


2 





1 

1 


1 
1 


2 




1 

1 


2 
2 
2 
6 


Postheoring ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


213.5 
258.0 
223.0 
230.3 


30 
109 
158 

30 


397 
407 
321 
407 


1 




1 



1 


1 




3 
3 


1 
1 


2^ 








2 
2 
3 
7 




All 

Other 

Cases 


76 

77 

78 

76-78 




















1 
1 


2 


























1 
1 


2 


Total Time Filing of complaint 
/ Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


1197.5 
949.0 
1983.0 
1463.1 


956 
478 

794 
478 


1439 
1420 
3438 
3438 





















1 


1 


2 
1 

3 
6 


2 
2 

3 
7 




All 

Other 

Cases 


76 

77 

78 

76-78 


1007.0 
1014.0 

lOIO.S 


1007 
1014 

1007 


1007 
1014 

1014 


























1 
1 


2 


1 
1 


2 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



FY 



Time/Effort (days, pages, etc.) 



Avg Min 



Max 



155 



Coses with full or partial hearing — 

FY: 76 77 78 76-78 

Number: III 3 

Distribution of Coses by Time/Effort Item 
0-2 3-9 10-59 60-199 200«lays, etc. 



N 
(cases) 



Prehearing 
& Hearing 
Time 



Parties 



Paperwork 



ALJ prehearing 
and hearing: 
separate 
days per case 

ALJ prehearing 
and hearing: 
hours per cose 



ALJ Travel; 
hours per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Petitioners, respon- 76 
dents, intervenors 77 

(including agency): 78 

number per cose 76-78 



Evidentiary docu- 
ments (excluding 
briefs): 
number per cose 

Transcripts: 
pages per cose 



Briefs: 

pages per cose 



Exhibits: 
pages per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



2.0 
7.0 

3.5 
3.6 

5.0 
24.0 
13.0 
12.0 

27.0 

72.0 
49.5 

16.0 
12.0 
13.0 
14.1 

9.0 
58.0 

7.7 
18.0 

138.0 
647.0 
404.5 
346.4 

16.0 
214.0 
121.0 
118.0 

68.0 
439.0 
1 1 1.0 
168.0 



2 

7 
3 
2 

3 

24 



27 

72 
27 

4 

12 

5 

4 

9 

58 

2 

2 

105 
647 
297 
105 

16 

214 

60 

16 

68 

439 

97 

68 



2 

7 
4 
7 

7 
24 
18 
24 

27 

72 
72 

30 
12 
19 
30 

9 
58 
11 
58 

171 
647 
512 

647 

16 
214 
182 
214 

68 
439 
127 
439 






























2 


2 



2 
2 

I 


3 
4 






























Contested 
motions: 
number per cose 



Written opinions 
by ALJ: 
pages per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 



1.0 

2.0 
1.8 

17.0 
25.0 
47.3 
36.8 



I 



17 
25 
30 
17 



I 

3 
3 

17 
25 
60 
60 



Procedures — 

The cose is initiated by the filing of a complaint. After 
the ALJ's initial decision is issued, the parties hove 22 days in 
which to file exceptions. Replies are due in 22 days. The 
Commission may, within 45 days, determine to review on its 

own motion. 



156 
Agency: FEDERAL MARITIME COMMISSION 



Case type: 



Shipping Act, 1916 
Special Docket 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 13 35 62 110 



MANNER OF TERMINATION (number of coses) ° 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & [Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 













































1 


1 








1 


1 














3 


35 


60 


108 



AGENCY REVIEW (number of coses) 



leview- 


76 


77 


78 


76-78 


Yes: 
No: 


13 



35 




61 

1 


109 

1 


Affirm 
Reverse 
Modify 
Remand/Other 


12 



1 


33 
2 




55 
2 
2 
2 


100 
4 
2 
3 



ELAPSED TIME DATA 



Notes— 

° The cases listed as terminated by "ALJ Decision w/o 
Hearing" were subject to the "shortened procedure" 
authorized by 46 CFR 502.181. Consent of the parties Is 
required for a case to be conducted without an oral hearing. 



Stage of Case 


Cose 
Breakdowi 


n FY 

76 

77 

78 

76-78 


Elapsed Time (days) 
Avg Min Max 

1.7 8 
2.3 11 
3. 1 22 
2.7 22 


Distribution of Coses by Elq 
&-lmo r-4mo 4-l2mo 


psed Time (coses) 
l-2yr 2yr+ 







N 
(cases) 


Prehearing Filing of complaint 
/ Referral to CALJ 


All 
Coses 


II 

35 

60 

106 














II 

35 

60 

106 


Hearing Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


1413.0 
1413.0 


1413 
1413 


1413 
1413 





























1 

1 




1 

1 




All 

Other 

Cases 


76 

77 

78 

76-78 


159.8 
130.4 
113.0 
124.2 


20 
15 
8 
8 


376 
399 
281 
399 


1 

7 
10 
18 


4 

8 

23 

35 


7 
19 
27 
53 


1 
1 


2 








13 

35 

60 

108 


Posthearing ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


49.2 
42.9 
56.9 
51.4 


24 
24 
21 
21 


133 
132 

244 
244 


9 
16 
20 
45 


2 

16 
32 
50 


2 

3 

8 

13 














13 
35 
60 

108 




All 

Other 

Coses 


76 

77 

78 

76-78 


37.0 
37.0 


37 
37 


37 
37 










1 
1 























1 
1 


Total Time Filing of complaint 
/ Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


205.2 
175.6 
200.8 
192.9 


44 
42 
42 
42 


400 
426 
1479 
1479 








3 

8 

21 

32 


7 
26 
34 
67 


1 
1 

3 

5 





1 

1 


II 

35 

59 

105 




All 

Other 

Coses 


76 

77 

78 

76-78 


52"o 
52.0 


52 
52 


52 
52 











1 
1 























1 
1 



157 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing — 















FY: 




76 




77 


78 


76-78 
















Number: 












1 


1 






Item 


FY 

76 

77 

78 

76-78 


Time/Effort (days, p 
Avg Min 

6.0 6 
6.0 6 


rages, etc.) 
Max 


Distribut 
0-2 







ion 
3-9 




1 
1 


f Cases 
10-59 


by Time/Effort Item 
60-199 200«Jays, etc. 







N 
(cases) 


Prehearing 
& Hearing 

Time 


ALJ prehearing 

and hearings 
separate 
days per case 


6 
6 













1 
1 




ALJ prehearing 
and hearing; 
hours per case 


76 

77 

78 

76-78 


21.0 
21.0 


21 
21 


21 
21 




















1 

1 



















1 
1 




ALJ Travels 
hours per cose 


76 

77 

78 

76-78 


- 


= 


= 










































Parties 


Petitioners, respon- 
dents, interveners 
(incluiding agency): 
number per case 


76 

77 

78 

76-78 


3.0 

3.0 
3.0 


3 

3 
3 


3 

4 
4 








13 



61 

74 

























13 



6! 

74 


Pofjerwork 


Evidentiary docu- 
ments (excluding 
briefs)s 
number f>er case 


76 

77 

78 

76-78 


18.0 
18.0 


18 
IB 


18 
IS 



















1 

1 




















1 
1 




Transcripts; 
pages per case 


76 

77 

78 

76-78 


499.0 
499.0 


499 
499 


499 
499 

































1 
1 





1 
1 




Briefs; 

pages per case 


76 

77 

78 

76-78 


52.0 
52.0 


52 
52 


52 
52 



















1 
1 



















1 
1 




Exhibits: 
pages per case 


76 

77 

78 

76-78 


311.0 
311.0 


311 
31! 


311 
311 


































1 
1 





1 
1 




Contested 
motions: 
number per case 


76 

77 

78 

76-78 


~ 


~ 


:; 












































Written opinions 
by ALJi 
pages per case 


76 

77 

78 

76-78 


4.2 

5.3 
5.1 


3 

2 
2 


8 

27 
27 





1 
1 


13 



54 

67 






6 
6 
















13 



61 

74 



Procedures — 

Applications for permission to refund an overcharge or 
waive the collection of an undercharge must be filed with the 
Commission. Such applications are occasionally opposed by 
other shippers, and, iif denied, are referred to the CALJ's 
office. Formal proceedings, including hearings, need not be 



held, and most such cases are decided on the basis of written 
submissions. 

These cases ore initiated by the filing of an application, 
and they are almost immediately referred to the CALJ. 



158 



FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 



The Federal Mine Safety and Health Amendments 
Act of 1977 (Pub. L. 95-164), transferred the 
responsibility of enforcing the Federal Coal Mine Safety 
and Health Act of 1 969 from the Department of the 
Interior's Mine Enforcement and Safety Administration 
(MESA) to the Department of Labor and its newly 
established Mine Safety and Health Administration 
(MSHA). The 1977 Act also expanded regulatory 
jurisdiction to non-coal mines. 

Previously, when MESA brought an enforcement 

action, the cases were heard by an Al 1 in the 

Department of the Interior's Office of Hearings and 

Appeals and Al I decisions were subject to appeal in the 

Department's Board of Mining Operations Appeals. 
These cases are reflected in this report in the 
Department of the Interior section. Under the 1977 
Act, MSHA brings enforcement actions before the newly 
established Federal Mine Safety and Health Review 
Commission (FMSHRC). The coses are heard by 
FMSHRC administrative law judges (most of whom had 
transferred from the Department of the Interior) and 
ALJ decisions ore subject to appeal to the full five- 
member Commission. 

The effective dote of the 1977 Act was March 8, 
1 978, at which time the MESA cases were transferred to 
MSHA and the mine enforcement cases pending before 
the Department of the Interior ALJs and all cases 
pending before the Department of the Interior Board of 
Mining Operations Appeals were transferred to 
FMSHRC and its ALJs. FMSHRC did not really become 
operational until the end of September 1978, but 
FMSHRC ALJs were active almost immediately. 



Statistics 

The following statistics on FMSHRC activity in FY 
1 978 were provided by the Commission's Office of the 
Executive Director: 



ALJ Level 

On March 9, 1 978, I 1 75 docl<ets were 
transferred from Interior ALJs to FMSHRC ALJs. 

From March 9, 1978, to September 30, 1978, 
2147 docl<ets were received and 1579 dockets were 
decided, leaving 1743 dockets pending at the end of 
FY 1978 in the FMSHRC ALJ offices. 

Commission Level 

On March 9, 1978, 87 cases (163 dockets) were 
transferred from the Board of Mining Operations 
Appeals. 

From March 9, 1978, to October 30, 1978, 20 
new cases (88 dockets) were accepted, 2 new cases 
(2 dockets) were remanded by the courts, and 15 
cases were closed by the Commission, leaving 94 
cases pending at the Commission level as of 
October 31, 1978. 



Note: 

The Office of Hearings and Appeals in the 
Department of Interior reported that a total of 
1,528 cases were transferred to FMSHRC on March 
8, 1978. The discrepancy was not explained. 



159 



FEDERAL TRADE COMMISSION 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Case Type 



Cases New Cases 

Pending at Referred to 
FY Start of FY Office of ALJs 



Coses Cases 

Terminated Pending at 
by Agency End of FY 



Federal Trade Commission Act 
Bureau of Consumer Protection 

1 5 use 45 
I6CFR3 

Proceedings to determine, after complaint is issued by the 
Commission, whether advertising is false or misleading or 
whether an act, practice or method of competition in 
commerce is unfair or deceptive. The remedy sought is a 
cease and desist order. 

The basis for the FTC's consumer protection jurisdiction is 
found in section 5 of the FTC Act (15 USC 45), which prohibits 
unfair or deceptive acts or practices in commerce. However, 
other more specific statutes serve to bring particular trade 
practices within the ambit of section 5. These statutes 
include; 

Export Trade Act, 1 5 USC 64, 65, 

Wool Products Labeling Act, 15 USC 68, 

Fur Products Labeling Act, 15 USC 69a, 69f, 

Textile Fiber Products identification Act, 15 USC 70a, 70e, 

Fair Pacl<aging and Labeling Act, 15 USC 1456, 

Truth in Lending Act, 1 5 USC 1 607(c), 

Fair Credit Reporting Act, 15 USC 1681s, and 

Equal Credit Opportunity Act, 15 USC I691c(c). 



(75) 




47 


30 




76 


66 


37 


40 


63 


77 


63 


6 


23 


46 


78 


46 


10 


24 


32 



76-78 



53 



87 



Federal Trode Commission Act and Clayton Act 
Bureau of Competition 

15 USC 13, 14, 18, 19,45 
I6CFR3 

Proceedings to determine, after complaint is issued by the 
Commission, whether a practice or method of competition is a 
restraint of trade under the Clayton Act or FTC Act. The 
remedy sought is a cease and desist order and/or a civil 
penalty. 

The basis for the FTC's antitrust jurisdiction is found in 
section 5 of the FTC Act (15 USC 45), along with the following 
more specific sections of the Clayton Act: 

Section 2, 15 USC 13 (price discri mi nation )(as amended by the 

Robinson-Patmon Act), 

Section 3, 15 USC 14 (exclusive dealing), 

Section 7, 15 USC 18 (anti-competitive mergers), and 

Section 8, 15 USC 19 (interlocking directorates). 

The Sherman Act (15 USC 1—7) is largely subsumed by the 
above corresponding provisions of the FTC and Clayton Acts. 



(75) 




14 


II 




76 


46 


17 


18 


45 


77 


45 


9 


9 


45 


78 


45 


7 


12 


40 



76-78 



33 



39 



160 



Agency: FEDERAL TRADE COMMISSION 

Case type: Federal Trade Commission Act 
Bureau of Consumer Protection 



Case-Closed Cards Submitted — 
FY: 76 77 78 

Number: 42 18 21 



76-78 



MANNER OF TERMINATION (number of cases) 

Not on Merits — 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76 


77 


78 


76-78 














24 


12 


10 


46° 





1 





1 ° 















AGENCY REVIEW (number of cases) 



3 


5 


II 


29 














5 








5 



Review- 


76 


77 


78 


76-78 


Yes: 
No: 


17 
25 


5 
13 


12 
9 


34 
47 


Result- 










Affirm 
Reverse 
Modify 
Remand/Other 


14 

2 
1 


5 





9 

2 
1 


28 

4 
2 



ELAPSED TIME DATA 





>e 

Order of formal 
investigaton / 
Issuance of 
complaint 


Case 
Breakdowi 


n FY 

76 

77 

78 

76-78 


hiapsec 


1 Time 


Ways) 


Distributic 


)n of Ca 


ses by Ela 


psed Ti 


me (cases 


) N 


Stage of Cos 


Avg 

648.2 
581.9 
1032.7 
725.6 


Min 

5 

32 

8 

5 


Max 

1638 
1224 
4166 
4166 


0-lmo 


l-4mo 


'i-l2mo 


l-2yr 

17 
6 
5 

28 


2yr+ 

13 

6 

12 

31 


(cases) 


Prehearing 


All 
Cases 


1 


1 
2 


3 
3 

6 


8 

3 

1 

12 


42 
18 
19 
79 


Hearing 


Complaint / ALJ's 
decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


459.3 
482.2 
715.6 
560.5 


54 
265 
269 

54 


1030 

629 

1669 

1669 








1 



1 


4 
1 

1 
6 


5 

4 

6 

15 


3 


4 
7 


13 

5 

II 

29 






All 

Other 

Cases 


76 

77 

78 

76-78 


233.0 
466.3 
383.2 
320.2 


57 
38 
151 
38 


482 

1839 

646 

1839 








4 
2 

6 


23 
6 
6 

35 


2 
3 
4 
9 



2 

2 


29 

13 
10 
52 


Post hearing 


ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


233.7 
277.4 
326.3 
272.8 


48 

148 

56 

48 


448 
565 
578 
578 








2 


1 
3 


12 

4 

6 

22 


3 
1 

5 
9 








17 

5 

12 

34 






All 

Other 

Cases 


76 

77 

78 

76-78 


248.6 
283.3 
512.1 
308.6 


125 
4 

118 
4 


432 
506 
916 
916 




1 



1 



1 
1 
2 


24 
8 
1 

33 


1 
3 

5 
9 




2 
2 


25 

13 
9 
47° 


Total Time 


Order of formal 
investigation / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


1236.7 
1394.8 
2222.1 
1589.1 


629 
1053 
1237 

629 


2603 
2092 
6352 
6352 




















3 


3 


14 

5 

II 

30 


17 

5 

II 

33 






All 

Other 

Cases 


76 

77 

78 

76-78 


1164.7 
1311. 1 
1695.4 
1298.3 


356 

336 

1205 

336 


2139 
2573 
1928 
2573 















1 
1 


2 


2 

2 


4 


22 

10 

8 

40 


25 

13 

8 

46 



Notes — 

° The cards submitted for the 46 withdrawals and I 
dismissal did not indicate agency review. However, such 
coses ore, in fact, examined by the Commission. Note that 
these 47 cases constitute the "all other cases" category for 
the posthearing stage. 



161 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing— 

FY: 76 77 78 76-78 

Numbers 16 8 13 37 





Item 


FY 

76 

77 

78 

76-78 


Time/Effort (days, p 
Avg Min 

6.4 

9.0 2 

12.6 

8.8 


ages, etc.) 
Max 


Distrib 
0-2 

21 

1 

5 
27 


ution o 
3-9 

8 

3 
II 
22 


f Coses 
10-59 


t)y Time 
60-199 




1 
1 


/Effort Item 
200tdays, etc. 







N 
(cases) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearing; 
separate 
days per case 


44 
23 
119 
119 


6 
4 
4 
14 


35 

8 

21 

64 




ALJ prehearing 
and tieorings 
hours per case ° 


76 

77 

78 

76-78 


51.0 
72.0 
101. 1 
70.1 




16 






352 
184 
956 
956 


1 


1 
2 


17 

2 

19 


10 

4 

12 

26 


4 

4 

3 

11 


3 

3 
6 


35 

8 

21 

64 




ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 


6.8 
30.2 

9.9 
10.5 








36 
79 
32 
79 


13 
2 
8 

23 


6 

2 
8 


5 
2 

9 
16 




1 


1 








24 

5 

19 

48 


Parties 


Petitioners, resposi- 
dents, interveners 
(including agency); 
number per case 


76 

77 

78 

76-78 


3.8 
A.I 
4.8 
4.1 


1 
1 

1 
1 


16 
15 
16 
16 


20 
4 

7 
31 


19 

3 

II 

33 


3 

1 

2 
6 














42 
8 

20 
70 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs): 
number per case 


76 

77 

78 

76-78 


230.5 
164.6 
243.1 
224.6 




71 






750 
325 
725 
750 


2 

1 
3 








3 


2 
5 


3 
3 
3 
9 


5 
2 
6 
13 


13 

5 

12 

30 




Transcripts: 
pages per case 


76 

77 

78 

7&.78 


1287.4 

793.3 

2349.0 

1566.7 


19 

40 






5229 
2507 
16727 
16727 





1 
1 








3 

1 


4 


3 


3 


11 

5 

II 

27 


17 

6 

12 

35 




Briefs: 

pages per case 


76 

77 

78 

76-78 


245.4 
198.8 
392.7 
298.1 


12 

62 






684 
365 
1900 
1900 





1 

1 








3 

1 
4 


5 

2 

3 

10 


6 
2 

7 
15 


14 

4 

12 

30 




Exhibits: 
pages per cose 


76 

77 

78 

76-78 


2429.7 

602.8 

1584.9 

1806.6 


3 

215 






12000 

1000 

10501 

12000 





1 
1 


1 




1 








2 


1 
3 


9 

4 

10 

23 


12 

4 

12 

28 




Contested 
motions: 
number per cose 


76 

77 

78 

76-78 


4.1 

12.0 

9.1 

6.8 








24 
67 
55 
67 


17 
2 

5 
24 


14 
5 
9 

28 


3 

7 
10 




1 


1 








34 

8 

21 

63 




Written opinions 
by ALJ: 
pages per cose 


76 

77 

78 

76-78 


47.4 
54.6 
74.1 
57.1 


12 
24 
18 
12 


143 

75 

211 

211 















13 
2 
6 

21 


5 

3 

4 

12 





1 
1 


18 

5 

II 

34 



Procedures — 

The prehearing stage begins when the head of the 
particular enforcement office signs the order of formal 
investigation. The staff then may send a memorandum to the 
Commission urging that a complaint be issued. If the 
complaint issues, it is sent to the CALJ's office about a week 
after issuance. It is assigned to the ALJ immediately. 

Often a joint motion to withdraw the matter from 
adjudication is made to effect a settlement or to seek a 
consent order. In such a case, the ALJ ordinarily will certify 
the motion and the Commission will order the matter 
withdrawn and then will issue the final order and decision. 
The question at that point is whether the settlement is in the 
public interest. 



By regulation, the ALJ's decision ordinarily must be filed 
within 9i3 days of completion of the reception of evidence. 
The loser has 10 days to file a notice of intention to appeal to 
the Commission, but the Commission may review the case on 
its own motion. The briefing periods are 30 days for initial 
briefs, 30 days for replies, and 7 days for supplemental 
briefs. Oral arguments before the Commission may be held. 

"information submitted by the Chief ALJ shows that the 
total number of hours spent on each case by the ALJ was 
about four times the number of hours spent in the hearing and 
prehearing. 



162 



Agency: FEDERAL TRADE COMMISSION 

Case type: Federal Trade Commission Act and Clayton Act 
Bureau of Competition 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: IB 10 12 40 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 












9 


5 


3 


2 


















76-78 



AGENCY REVIEW (number of coses) 





17 <• 
2° 




6 


4 


8 


18 




1 



1 



1 



3 



Review- 



76 77 



78 76-78 



Yes: 
No: 


7 
II 


6 

4 


9 
3 


22 
18" 


Result- 










Affirm 
Reverse 
Modify 
Remand/Other 


6 
1 





4 
2 




6 
2 


1 


16 
5 

1 



ELAPSED TIME DATA 



Notes — 

"The cards submitted for 16 of the withdrawals and 2 
dismissals did not indicate oqency review. However, such 
cases are, in fact, examined by the Commission. Note that 
these 18 cases constitute the "all other cases" category for 
the post hearing stage. 



Stage of Cos 


e 

Order of formal 
investigaton / 
Issuance of 
complaint 


Cose 
Breokdow 


n FY 

76 

77 

78 

76-78 


Elapsed Time (days) 
Avg Min Max 

829.2 64 1729 
551.9 36 1554 

706.3 89 1732 

727.4 36 1732 


Distribution of Coses by Elq 
0-lmo l-4mo 4-l2mo 


psed Tir 
l-2yr 

1 
1 

6 
8 


ne (cases) 
2yr+ 

II 

3 

3 
17 


N 
(cases) 


Prehearing 


All 
Cases 









2 

1 
1 

4 


4 

4 

2 

10 


18 

9 

12 

39 


Heoring 


Complaint / ALJ's 
decision 


With AU 76 

Hearing on 77 

Merits 78 

76-78 


999.2 

752.8 

1074.0 

977.7 


234 
269 
495 
234 


1902 
1114 
1528 
1902 














1 
1 


2 


1 


2 
3 


4 

3 

6 

13 


6 

4 

8 

18 






All 

Other 

Coses 


76 

77 

78 

76-78 


492.8 
232.5 
456.5 
415.2 


29 
8 

93 
8 


923 
335 
875 
923 


1 

1 


2 





1 

1 


3 
5 

1 
9 


5 


1 
6 


3 

1 
4 


12 

6 

4 

22 


Postheoring 


ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


412.6 
464.2 
552.6 
483.9 


217 
4 

175 
4 


614 
864 
916 
916 




1 


1 








3 
2 
3 
8 


4 
1 

3 
8 



2 
3 
5 


7 

6 

9 

22 






All 

Other 

Coses 


76 

77 

78 

76-78 


234.1 
302.5 
419.7 
280.2 


22 
223 
132 

22 


398 
438 
873 
873 


1 




1 


1 




1 


8 
3 
2 

13 


1 
1 


2 





1 
1 


11 

4 

3 
18° 


Total Time 


Order of formal 
investigation / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


2317.7 
1158.6 
2333.4 
2048,5 


853 

48 

730 

48 


3882 
2139 
3522 
3882 










1 



1 










1 

1 


7 

4 

8 

19 


7 

5 

9 

21 






All 

Other 

Coses 


76 

77 

78 

76-78 


1461.3 
1500.8 
1 374.7 
1455.6 


115 
851 
314 
115 


2876 
2096 
2362 
2876 








1 




1 





1 

1 


2 


2 


8 

4 

2 

14 


11 
4 
3 

18 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



FY 



Time/Effort (days, pages, etc.) 



Avg 



Min 



Max. 



Cases with full or partial hearing — 

FY: 76 77 78 76-78 

Number: 7 6 9 22 

Distribution of Coses by Time/Effort Item 
0-2 3^9 10-59 60-199 200+days, etc. 



163 



N 
(cases) 



Prehearing ALJ prehearing 76 18.6 

& Hearing and hearing: 77 1 6.3 

Time separate 78 33.8 

days per cose 76-78 23. 1 

ALJ prehearing 76 I h9.2 

and hearing: 77 1^14.7 

hours per cose ° 78 344.7 

76-78 213.5 



110 
48 
119 
119 

880 
348 
952 
952 



5 

4 

I 

10 








6 
3 
7 
16 

7 

2 

I 

10 



16 

7 

II 

34 

16 

6 

II 

33 



ALJ Travel: 
hours per case 



76 

77 

78 

76-78 



Parties 



Paperwork 



Petitioners, respon- 76 
dents, intervenors 77 

(including agency): 78 

number per case 76-78 



Evidentiary docu- 
ments (excluding 
briefs): 
number per case 

Transcripts: 
pages per cose 



Briefs: 

pages per cose 



Exhibits: 
pages per case 



Contested 
motions: 
number per cose 



Wriiften opinions 
by ALJ: 
pages per case 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



16.2 



25.1 

17.9 

2.2 

5.4 
4.8 
3.6 

419.3 
148.0 
223.9 
263.4 

3467.2 
1931.3 
6277.2 
4683.9 

884.5 
399.7 
490.7 
572.1 

3383.8 
1 340.0 
3380.8 
2998.9 

13.1 

5.5 

13.7 

11.9 

72.7 
46.0 
92.2 
73.4 



5 
44 
75 

5 

2 

2 


24 
2 

13 
2 



57 


80 
80 

5 
23 
19 
23 

595 
312 
570 
595 



57 II 000 

74 3291 
IB 18383 
18 18383 

2000 

75 754 
91 783 

2000 



8000 
3364 
7066 
8000 

49 
13 
30 

49 

125 
91 

161 
161 



1 
I 


2 


I 
I 
2 



2 
2 






4 

2 

7 

13 



3 
7 

3 

2 

8 

13 

3 
2 



3 
2 

7 
12 













8 
2 

7 
17 

17 

7 

10 

34 

4 

3 

7 

14 

5 

3 

9 

17 

4 

3 

9 

16 

4 

3 

9 

16 



10 
32 

7 

6 

9 

22 



Procedures — 

The prehearing stage begins when the head of the 
particular enforcement office signs the order of formal 
investigation. The staff then may send a memorandum to the 
Commission urging that a complaint be issued. If the 
complaint issues, it is sent to the CALJ's office about a week 
after issuance. It is assigned to the ALJ immediately. 

Often a joint motion to withdraw the matter from 
adjudication is made to effect a settlement or to seek a 
consent order. In such a case, the ALJ ordinarily will certify 
the motion and the Commission will order the matter 
withdrawn and then will issue the final order and decision. 
The question at that point is whether the settlement is in the 
public interest. 



By regulation, the ALJ's decision ordinarily must be filed 
within 90 days of completion of the reception of evidence. 
The loser has 10 days to file a notice of intention to appeal to 
the Commission, but the Commission may review the case on 
its own motion. The briefing periods are 30 days for initial 
briefs, 30 days for replies, and 7 days for supplemental 
briefs. Oral arguments before the Commission may be held. 

"Information submitted by the Chief ALJ shows that the 
total number of hours spent on each case by the ALJ was 
about four tirnes the number of hours spent in the hearing and 
prehearing. 



164 



FOOD AND DRUG ADMINrSTRATION, Department of HEW 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1 975 from previous publication) 



Case Type 



FY 



Coses 
Pending at 
Start of FY 



New Coses 

Referred to 

Office of ALJs 



Coses Cases 

Terminated Pending at 
by Agency End of FY 



Federal Food, Drug and Cosmetic Act 
Human Drug Applications 

2 1 use 355(d), (e) 
21 CFR 12.21 

Proceedings to give applicant an opportunity to challenge 
the Administrator's refusal to approve a new drug application 
or the Administrator's withdrawal of approval for reasons 
stated in the statute. 



(75) 




N/A 


N/A 




76 


1 


2 


2 


1 


77 


1 


2 


1 


2 


78 


2 


1 





3 



76-78 



Federal Food, Drug and Cosmetic Act 
Animal Drug Applications 

21 use 360b(d), (e), (m)(3), (m)(4) 
21 CFR 12.21 

Proceedings to give applicant on opportunity to challenge 
the Administrator's refusal to approve a new animal drug 
application or the Administrator's withdrawal of approval for 
reasons stated in the statute. 



(75) 




N/A 


N/A 




76 














77 





1 





1 


78 


1 








1 



76-78 



Federal Food, Drug and Cosmetic Act 
Food Additive Regulations 

21 use 341, 343(j), 344(c), 346, 371(e) 
21 CFR 12.21 

Formal rulemaking proceedings to issue regulations 
prescribing food standards and rules relating to food additives 
and misbranded or adulterated food. 



(75) 




N/A 


N/A 




76 


2 








2 


77 


2 


2 


1 


3 


78 


3 


1 


1 


3 



76-78 



Federal Food, Drug and Cosmetic Act 
Color Additive Regulations 

21 use 376(d) 
21 CFR 12.21 

Formal rulemaking proceedings to issue regulations 
prescribing conditions for use of color additives. 



(75) 




N/A 


N/A 




76 





1 





1 


77 


1 








1 


78 


1 


1 





2 



76-78 



165 



FOOD AND DRUG ADMINISTRATION, Department of HEW (continued) 



ANNUAL CASELOAD INVENTORY 

Fiscal Yeon-s 1976-1978 

(and FY 1975 from previous publication) 



Case Type 



Cases 
Pending at 
FY Start of FY 



New Cases 

Referred to 

Office of ALJs 



Coses Cases 

Terminated Pending ai 
by Agency End of FY 



Miscellaneous 

21 use 351(b), 352(d), 352(h), 357(f), 360b(n)(5) 
21 CFR 12.21 

Proceedings to issue rules concerning prescripton drug 
advertising, antibiotic drug certification, labeling of drugs and 
adulterated drugs. 



(75) 




N/A 


N/A 




76 





1 





1 


77 


1 


1 


2 





78 















76-78 



166 



Agency: FOOD AND DRUG ADMINISTRATION, Department of HEW 

Case type: Federal Food, Drug and Cosmetic Act 
Human Drug Applications 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 2 11 4 



MANNER OF TERMINATION (number of cases) 



Not on Merits — 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 



ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76 



77 



78 76-78 



1 








1 




























1 




1 




1 



3 



























AGENCY REVIEW (number of cases) 



Review- 
Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 



77 



78 

I 




76-78 

3 



Fl APSED TIME DATA 


Case 
Breakdow 


n FY 

76 

77 

78 

76-78 


Elapsed Time (days) 
Avg Min Max 

1087.5 2175 



I4II.0 1411 1411 

896.5 2175 


Distribution 


of Cases by Elapsed Time (cases) 


N 


Stage of Case 


0-lmo 


-Imo 


4-l2mo 


l-2yr 








2yr+ 

1 


1 

2 


(cases) 


Prehearing Filing of petition / 
Referral to ALJ 


All 
Cases 


1 
1 


2 















2 

1 
1 
4 


Hearing Referral to ALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


209.0 
162.0 
170.0 
180.3 


209 
162 
170 
162 


209 
162 
170 
209 














1 
1 

1 

3 














1 
1 
1 
3 




All 

Other 

Cases 


76 

77 

78 

76-78 


160.0 
160.0 


160 
\60 


160 
160 














1 




1 
















1 




1 


Poatheoring ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


494.0 
414.0 
1489.0 
799.0 


494 
414 
1489 
414 


494 

414 

1489 

1489 























1 
1 


2 





1 

1 


1 
1 
1 

3 




All 

Other 
Coses 


76 

77 

78 

76-78 














1 




1 


























1 




1 


Total Time Notice of hearing / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


2878.0 

576.0 

3070.0 

2174.7 


2878 
576 

3070 
576 


2878 

576 

3070 

3070 






















1 



1 


1 



1 

2 


1 

1 

1 

3 




All 

Other 

Cases 


76 

77 

78 

76-78 


160.0 
160.0 


160 
160 


160 
160 














1 




1 














1 




1 



167 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



Time/Effort (days, poges, etc.) 
FY Avg Min Max 



Coses with full or partial hearing — 

FYs 76 77 78 76-78 

Number: 2 11 4 

Distribution of Cases by Time/Effort Item N 

0-2 3-9 10-59 60-199 200+days, etc. (cases) 



Prehearing ALJ prehearing 
& Hearing and hearing: 
Time separate 

days per case 

ALJ prehearing 
and hearings 
hours per cose 



ALJ Travel: 
hours per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



8.0 
12.0 
10.0 

9.5 



3 

12 

10 

3 



13 
12 
10 
13 



Parties 



Paperwork 



Petitioners, respoo- 76 
dents, interveners 77 

(including agency): 78 

numb^- per case 76-78 



Evidentiary docu- 
ments (excluding 
briefs): 
number per cose 

Transcripts: 
pages per case 



Briefs: 

pages per case 



Exhibits: 
pages per cose 



Contested _ 
motions: 
number per case 



Written opinions 
by ALJ: 
pages per cose 



76 

77 

78 

76-78 

76 

77 

78 

7&-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



2.0 
38.0 
22.0 
16.0 

392.0 
170.0 
158.0 
246.5 

905.0 
2054.0 
II 79.0 
1 260.8 

120.0 
254.0 
200.0 
191.3 

1800.0 

2800.0 

2400.0 

2200 

I.O 



1.0 



2 
38 
22 

2 

95 
170 
158 

95 

221 
2054 
1179 

221 

120 
254 
200 
120 

600 
2800 
2400 

600 



2 
38 
22 
38 

563 
170 
158 
563 

1589 
2054 
1179 
2054 

120 
254 
200 
254 

3000 
2800 
2400 
3000 

I 



13.0 


2 


24 


28.0 


28 


28 


37.0 


37 


37 


22.8 


2 


37 


















2 



2 






































































! 
2 


























I 
I 
I 

3 

















































I 





I 



Procedures — 

The proceeding is begun on the motion of the 
Commissioner or upon the filing of a petition by an interested 
person. If the petition is denied, a determination of denial 
specifying the reasons must be published in the Federal 
Register. A denial is final agency action subject to judicial 
review in the US Court of Appeals. 



When a hearing is to be held, a notice will be published in 
the Federal Register. Within 90 days after the close of the 
hearing, the ALJ presiding will prepare an initial decision 
which becomes the decision of the Commissioner unless the 
parties file timely exceptions or the Commissioner files 
notice of intention to review on his own motion. 



168 



Agency: FOOD AND DRUG ADMINISTRATION, Department of HEW 

Case type: Federal Food, Drug and Cosmetic Act 
Food Additive Regulations 



Case-Closed Cards Submitted— 

1^: 76 77 78 76-78 

Number: 10 I 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 










































1 
























76-78 








AGENCY REVIEW (number of cases) 



Review- 


76 


77 


78 


Yes: 
No: 






1 







Result- 








Affirm 
Reverse 
Modify 
Remand/Other 












1 










76-78 

I 




ELAPSED TIME DATA 





Case 
Breakdow 


n FY 
76 


Elapsed Time (days) 
Avg Min Max 


Distribution of Coses 


by Elapsed Time (cases) 


N 


Stage of Case 


0-lmo 


l-Amo k- 


2mo 


l-2yr 




2yr+ 




(coses) 


Prehearing Notice of hearing / 


All 














Referral to ALJ 


Cases 


77 


878.0 


878 


878 














1 


1 






78 

































76-78 


878.0 


878 


878 














1 


1 


Hearing Referral to ALJ / 


With ALJ 


76 


„ 


_ 


„ 




















ALJ's decision 


Hearing on 77 


125.0 


125 


125 








1 








1 




Merits 


78 


_ 


— 



























76-78 


125.0 


125 


125 








1 








1 




All 


76 








_ 






















Other 


77 


— 




























Cases 


78 

































76-78 


~ 


- 


- 




















Posthearing ALJ's decision / 


With 


76 


„ 


„ 






















Final agency 


Agency 


77 


50.0 


50 


50 





1 











1 


action 


Review 


78 

































76-78 


50.0 


50 


50 





1 











1 




All 


76 


„ 


„ 


„ 






















Other 


77 































Cases 


78 

































76-78 


~ 


- 


- 




















Total Time Notice of hearing / 


With 


76 


_ 


„ 


„ 




















Final agency 


Agency 


77 


1053.0 


1053 


1053 














1 


1 


action 


Review 


78 


— 


— 



























76-78 


1053.0 


1053 


1053 














1 


1 




All 


76 








„ 






















Other 


77 


— 


— 


_ 






















Cases 


78 


— 


— 


























76-78 


— 


— 


-J 





















169 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing — 

FY: 76 77 78 76-78 

Number: 01 I 



Time/Effort (days, pages, etc.) 





Item 


FY 

76 

77 

78 

76-78 


Avg 

9.0 
9.0 


Min 

9 
9 


Max 


0-2 







3-9 



1 



1 


10-59 


60-199 







200+days, etc. 







(cases) 


Prehearing 

& Hearing 
Time 


ALJ prehearing 
and hearing: 
separate 
days per cose 


9 
9 










1 



1 




ALJ prehearing 
and hearing: 
hours per cose 


76 

77 

78 

76-78 


- 


- 


- 



























. 













ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 


= 


~ 


E 









































Parties 


Petitioners, resporn- 
dents, intervenors 
(including ogericy): 
number p>er cose 


76 

77 

78 

76-78 


5.0 
5.0 


5 
50 


5 
5 










1 



1 























1 



1 


Paperwork 


Evidentiary docu- 
ments (excluding 

briefs): 
number per case 


76 

77 

78 

76-78 


333.0 
333.0 


333 
333. 


333 
333 






























1 



1 




1 



1 




Transcripts: 
pages per case 


76 

77 

78 

76-78 


1170,0 
1 1 70.0 


1170 
1170 


1170 
1170 




























1 



1 




1 



1 




Briefs: 

pages per cose 


76 

77 

78 

76-78 


594.0 
594.0 


594 
594 


594 
594 




























1 



1 




1 



1 




Exhibits: 
pages per cose 


76 

77 

78 

76-78 


4800.0 
4800.0 


4800 

4800 


4800 
4800 




























1 



1 




1 



1 




Contested 
motions: 
number per cose 


76 

77 

78 

76-78 


9.0 

9.0 


9 
9 


9 
9 










1 



1 
























1 



1 




Written opinions 
by ALJ: 


76 
77 


41.0 


41 


41 












1 












1 




pages per case 


78 
76-78 


41.0 


41 


41 












1 












I 



Procedures— 

The prehearing stage begins when a notice of hearing is 
published in the Federal Register. The Commissioner may 
initiate the proceeding on his own motion or pursuant to a 
petition by an interested party. 

Within 90 days after the filing of briefs and any oral 



argument, the ALJ will file an initial decisiop. This decision 
will become the final decision of the Commissioner by 
operation of law unless timely exceptions are received or the 
Commissioner decides to review on his own Initiative. 



170 



DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1 975 from previous publication) 



Case Type 



FY 



Coses 
Pending at 
Start of FY 



New Coses 

Referred to 

Office of ALJs 



Cases Coses 

Terminated Pending at 
by Agency End of FY 



Interstate Land Soles Full Disclosure Act 
Challenges to Registration Suspensions 

1 5 use 1701; 1706(b), (d) 
24CFR 1720 

Proceedings, whereby a developer may challenge the 
Secretary's determination that the developer's registration 
statement should be suspended due to inaccuracies or 
incompleteness. 



(75) 




N/A 


N/A 




76 


60 


201 


173 


88 


77 


88 


133 


166 


55 


78 


55 


45 


97 


3 



76-78 



379 



436 



Debarment And Suspension 

42 use 353 1 ; 3535(d) 
24 CFR 24 

Proceedings whereby contractors or grantees may challenge 
Department's action to debar or suspend them for causes 
specified in 24 CFR 24. 



(75) 




N/A 


N/A 




76 


20 


42 


53 


9 


77 


9 


30 


26 


13 


78 


13 


25 


26 


12 



76-78 



97 



105 



Mortgagee Review Board 

42 use 3531; 3535(d) 
24 CFR 25 

Proceedings whereby a mortgagee who deals in mortgages 
insured by the Department may challenge a determination that 
Departmental approval be withdrawn. 



(75) 




N/A 


N/A 




76 





6 


4 


2 


77 


2 


7 


6 


3 


78 


3 


20 


15 


8 



76-78 



33 



25 



Equal Opportunity 

42 use 2000d; 18 USC 3601; E.O. I 1063, 1 1246 
24 CFR 21, 100 

Proceedings under various anti-discrimination statutes to 
terminate Departmental assistance to contractors and grantees 
for violations of such statutes. 



(75) 




N/A 


N/A 




76 





3 


2 


1 


77 


1 


3 


2 


2 


78 


2 


5 


4 


3 



76-78 



171 



DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT (continued) 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Case Type 



Coses 
Pending at 
FY Start of FY 



New Coses 

Referred to 

Office of ALJs 



Coses Cases 

Terminoted Pending at 
by Agency End of FY 



i^obile Home Conslhruction And Safety Standards Act 

42 use 541 1(a); 5414(e), (g); 5422(d), (f) 
24CFR 3282.151(a); 3282.152(c), (g) 

Hearings under various provisions of the Act giving alleged 
violators the right to challenge contemplated injunctive relief 
and to challenge compliance orders, and giving the states the 
opportunity to challenge the Secretary's rejection or 
withdrawal of approval of state enforcement plans. 



(75) 




~ 


- 




76 














77 





24 


6 


IS 


78 


IB 


6 


24 






76-78 



30 



30 



Cases of Other Agencies 



Proceedings in other agencies assigned to HUD ALJ. 



(75) 




N/A 


N/A 




76 


5 


20 


13 


12 


77 


12 


16 


19 


9 


78 


9 


30 


16 


23 



76-78 



(.(> 



48 



172 



Agency: DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT 

Cose type: Interstate Land Sales Full Disclosure Act 
Challenges to Registration Suspensions 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: IS't 152 85 421 



MANNER OF TERMINATION (number of cases) ° 
Not on Merits— 76 77 78 



Settlement 
Withdrawal 
Dismissal 
Other 

On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



135 53 69 257 

18 44 2 64 

6 7 6 19 

I 48 3 52 



22 





3 


25 














2 





2 


4 



AGENCY REVIEW (number of cases) 

Review- 76 77 78 76-78 



Yes: 

No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



24 
160 



2 





22 




152 



5 
80 



29 

392 



2 





27 



ELAPSED TIME DATA 



Stage of Case 



Cose Elctpsed Time (days) 

Breakdown FY Avg Min Max 



Distribution of Cases by Elapsed Time (cases) gs| 
0-lmo l-4mo 4-l2mo l-2yr 2yr+ (coses) 



Prehearing Date of application 
or beginning of in- 
vestigation / 
Referral to CALJ 

Hearing Referral to CALJ / 

Date of ALJ's 
decision or order 



All 
Cases 



76 

77 

78 

76-78 



Posthearing ALJ's decision or 
order / Final 
agency decision 



Total Time 



Application or 
beginning of in- 
vestigation / Final 
agency decision 



With ALJ 76 

Hearing on 77 

Merits 78 

76-78 



All 

Other 

Cases 



With 

Agency 

Review 



All 

Other 

Cases 



With 

Agency 

Review 



All 

Other 

Cases 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



30.6 
26.4 
43.6 
31.7 

153.8 

210.3 
160.8 

84.4 

150.7 

95.3 

88.1 

10.0 

139,6 
91.0 

1.3 
20.7 

259.3 
32.4 

99.8 

550.4 
350.1 

135.6 
155.9 
268.0 
170.6 



3 I 
7 

II I 
3 I 



500 
290 
062 
500 



77 235 



106 
77 



16 

8 





I 





159 




152 
88 

5 
41 
30 

5 



405 
405 

520 
259 
210 
520 

30 

398 
398 

21 

34 

398 

398 

128 

1183 
1183 

1794 
846 
970 

1794 



150 

113 

54 

317 






15 
I 
I 

17 

3 

2 
5 

72 
2 


74 






7 

I 



12 
22 
20 

54 





2 

10 

47 

8 

55 








3 


3 

78 

65 

16 

159 



13 



13 

10 
2 
3 

15 



2 
2 



8 




2 
3 

50 

68 

38 

156 





2 
2 



2 
2 

4 

3 

14 

21 





























165 

137 

76 

378 

21 

3 

24 

74 

3 

12 

89 

3 

5 



72 
3 

10 
85 

4 

5 
9 

140 

137 

71 

348 



Notes — 

° Most cases are settled (includes consents). Withdrawals 
include only those cases where HUD withdraws its suspension 
unilaterally. Dismissals include only those cases where ALJ 
disnnisses the case. 



173 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or poriial heoring- 



I1tem 



FY 



Prehearing 


ALJ prehearing 


76 


& Hearing 


ond hearing: 


77 


Time 


separate 


78 




days per case 


76-78 




ALJ prehearing 


76 




and hearings 


77 




hours per case 


78 
76-78 




ALJ Travels 


76 




hours per cose 


77 

78 

76-78 



Parties Petitioners, respoim- 76 

dents, intervenors 77 

(including agency)s 78 

number per case 76-78 

Paperwork Evidentiary doco- 76 

ments (excluding 77 

briefs): 78 

number per cose 76-78 



Transcripts: 

pages per cose 


76 

77 

78 

76-78 


Briefs: 


76 


pages per cose 


77 

78 

76-78 


Exhibits: 


76 


pages per case 


77 

78 

76-78 


Contested 
motions: 
number per cose 


76 

77 

78 

76-78 


Written opinions 

by ALJ: 
pages per cose 


76 

77 

78 

76-78 



Time/Effort (days, pages, etc.) 



Avg 



Min 



Max 



3.2 



3.2 



16.0 



4.0 



4.0 



1.0 


1 


1 


2.0 


2 


2 


2.0 


2 


2 


4.8 


2 


9 


4.8 


2 


9 


27.3 


9 


57 


27.3 


9 


57 


2.0 


2 


2 


2.0 


2 


2 


16.0 


6 


26 



26 



FYs 




76 




77 


78 


76-78 




Number: 




27 




1 


5 


33 




Distribut 


on of Cases by Time/Effort Item 


N 


0-2 


3-9 


10-59 


60-199 20aKdays, etc. 


(cases) 


























































































2 


3 















5 














































2 


3 















5 


1 


















1 














































1 


















1 


1 


















1 














































1 


















1 


1 


3 















4 














































1 


3 















4 





2 




2 










4 

















































2 




2 










4 


1 


















1 














































1 


















1 





1 




1 










2 

















































I 




1 










2 





























































































4 















4 

















































4 















4 



Procedures — 

Under this program a land developer is required by the Act 
to make full disclosure in the sale or lease of certain 
undeveloped property. If such land is to be offered for sale as 
part of a common promotional plan, the land must be 
registered with the Secretary. The registrant must file a 
"Statement of Record" and "Property Report" which are 
effective 30 days after filing unless the Secretary notifies 
him that the statement has been suspended. Effective 
statements may also be suspended. In either case the 



registrant has 1 5 days to seek a hearing. 

The ALJ's decision is to be made within 60 days after the 
close of evidence-taking. His decision is final unless a 
petition for appeal is filed within 10 days with the Appeals 
Officer of the Interstate Land Sales Board. Briefs are 
permitted. The Appeals Officer's decision becomes the final 
decision of the Secretary within 10 days unless the full Board 
accepts a petition for reconsideration. 



174 



Agency: DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT 

Case type: Department of Housing and Urban Development Act 
Debarment and Suspension 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: 75 8 21 104 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



3 

1 




1 


7 
1 


10 
3 


3 


2 


4 


9 


4 


2 


3 


9 


36 





3 


39 


1 








1 


27 


3 


3 


33 



AGENCY REVIEW (number of cases) 
Review- 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



61 

14 



15 



46 



76-78 

70 
34 



15 





55 



ELAPSED T 
Stage of Cos 


ME DATA 

e 

Date of beginning 
of investigation / 
Referral to CALJ 


Case 
Breakdow 


1 FY 

76 

77 

78 

7&.78 


Elapsed Time (days) 
Avg Min Max 

IIO.O 2445 
42.5 1 1 77 
105.4 21 420 
104.3 2445 


Distribution of Ca 
0-1 mo l-4mo 


ses by Elq 
4-l2mo 


psed Time (cases) 
l-2yr 2yr+ 

1 1 



1 

2 1 


N 
(cases) 


Prefieoring 


All 
Cases 


19 
2 
2 

23 


33 

4 
1! 
48 


9 



3 

12 


63 
6 

17 
86 


hiearing 


Referral to CALJ / 
Date of ALJ's 
decision or order 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


147.3 

162.0 
148.0 


35 

162 
35 


352 

162 
352 








17 



17 


20 

2 

22 














37 

2 

39 






All 

Other 

Cases 


76 

77 

78 

76-78 


148.0 

131.0 

76.0 

140.6 


37 

131 

31 

31 


690 
131 
III 
690 








21 

4 

25 


14 
1 


15 


1 




1 








36 

1 

4 
41 


Posthearing 


ALJ's decision or 
order / Final 
agency decision 


With 

Agency 

Review 


76 

77 

78 

76-78 


24.0 
168.0 
118.8 

36.1 




168 

86 




71 
168 
148 
168 


33 



33 


5 

2 
7 



1 

2 
3 














38 

1 

4 
43 






All 

Other 

Cases 


76 

77 

78 

7fr-78 


12.2 


10.4 








50 


50 


II 

2 

13 


1 




1 




















12 

2 

14 


Total Time 


Beginning of 
investigation / 
Final agency 
decision 


With 

Agency 

Review 


76 

77 

78 

76-78 


321.0 
231.7 
331.5 
316.5 


59 
137 
176 

59 


2738 
342 
537 

2738 








4 


4 


26 
3 
4 

33 


6 

2 

8 


1 




1 


37 
3 
6 

46 






All 

Other 

Coses 


76 

77 

78 

76-78 


194.2 
120.0 
270.3 

217.8 


103 
98 

102 
98 


273 
160 
612 
612 








3 
2 
2 

7 


9 

1 

7 
17 




2 
2 








12 
3 

II 
26 



175 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or partial hearing- 



Item 



FY 



Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearing; 
sepxirafe 
days per cose 


76 

77 

78 

76-78 




ALJ pireheoring 
ond hearing! 
hours per case 


76 

77 

78 

76-78 




ALJ Travels 

hours per case 


76 

77 

78 

76-78 



Parties Petiticmers, resposi- 76 

dents, intervenors 77 

(including agency); 78 

number per case 76-78 

Paperwork Evidentiary cfa>c<ui- 76 

ments (excluding 77 

briefs); 78 

number per cose 76-78 



Transcripts: 
pages per cose 



Briefs; 

pages per cose 



Exhibits; 
pages per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Contested 76 

motions; 77 

number per case 78 

76-78 

Written opinions 76 

by ALJ; 77 

|Kiges per cose 78 

76-78 



Time/Effort (days, pages, etc.) 
Avg Min Max 



1.0 

1.0 
2.3 



42.4 



34.3 



34.3 
1.0 

1.0 
3.2 



3.2 



I 



2.3 


1 


8 




















2.0 


2 


2 


2.0 


2 


2 


9.5 


2 


33 


9.5 


2 


33 


42.4 


6 


193 



193 



83 

83 
I 

I 
5 



FY: 




76 




77 


78 


76-78 




Number: 




37 







4 


41 




Distribut 


on of Cases by Time/Effort Item 


N 


0-2 3-9 


1(K59 


60-199 200+days, etc. 


(cases) 


1 


















1 














































1 


















1 


II 


5 















16 














































II 


5 















16 


1 


















1 














































1 


















1 


10 


















10 














































10 


















10 


1 


8 




4 










13 





















• 
























1 


8 




4 










13 





4 




6 




2 





12 

















































4 




6 




2 





12 





























































































3 




5 




3 





II 

















































3 




5 




3 





II 


3 


















3 














































3 


















3 


5 


II 















16 














































5 


II 















16 



Procedures — 

These proceedings ore enforcement proceedings designed 
to remove "undesirables" as potential contractors of the 
Department. Various types of persons ore regulated and 
there are many causes for debarment, as specified at 24 CFR 
24.6. These proceedings are generally pursuant to the general 
rulemaking authority of the Department, and historically 
have been held by hearing officers who do not in most cases 
have to be Al Is. However, these cases are frequently heard 



by an ALJ. They begin formally when the Assistant Secretary 
serves the contractor or grantee with written notice of the 
proposed action. The respondent has 10 days to request a 
hearing. The hearing officer's determination is final unless 
the Secretary decides to review within 30 days. Petitions for 
review may be filed within 10 days. The Secretarial 
determination is final. 



176 



Agency: DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT 

Case type: Department of Housing and Urban Development Act 
Mortgagee Review Board 



Case-Closed Cords Submitted— 

FY: 76 77 78 76-78 

Number: 8 2 18 28 



MANNER OF TERMINATION (number of coses) 

Not on Merits— 76 77 78 

Settlement 
Withdrowol 
Dismissal 
Other 



On Merits— 

ALJ Heoring & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



6 





7 


13 








3 


3 








3 


3 





2 


1 


3 


1 








1 














1 





4 


5 



AGENCY REVIEW (number of cases) 



Review- 


76 


77 


78 


76^78 


Yes: 
No: 


1 
7 



2 


4 
14 


5 
23 


Result- 










Affirm 
Reverse 
Modify 
Remand/Other 






1 











4 





5 



ELAPSED TIME DATA 





Date Board begins 


Cose 
Breokdow 


n FY 
76 


Elopsed 


Time 


days) 


DLStribotion of Ca 


ses by Elo 


psed Tir 


ne (coses 


) N 


Stage of Cos 


Avg 

29.8 


Min 

24 


Mox 

34 


O-lmo 


l-%io 


4-!2mo 


l-2yr 




2yr+ 




(coses) 


Prehearing 


All 


2 


2 





4 




review / Referral 


Cases 


77 































to CALJ 




78 


8.5 





77 


15 


1 











16 








76-78 


12.8 





77 


17 


3 











20 


Hearing 


Referral to CALJ / 


With ALJ 


76 


167.0 


167 


167 








1 








1 




Date of ALJ's 


Hearing on 77 































decision or order 


Merits 


78 



































76-78 


167.0 


167 


167 








1 








1 






All 


76 


46.0 


27 


55 


1 


6 











7 






Other 


77 


— 






























Coses 


78 


82.2 


81 


87 





5 











5 








76-78 


61.1 


27 


87 


1 


II 











12 


Posthearing 


ALJ's decision or 


With 


76 


__ 


_ 


„ 






















order / Final 


Agency 


77 


~ 


_ 


_ 






















agency action 


Review 


78 











4 














4 








76-78 











4 














4 






Ail 


76 











4 














4 






Other 


77 


— 






























Coses 


78 











1 














1 








76-78 











5 














5 


Total Time 


Board begins 


With 


76 































review / Final 


Agency 


77 


_ 


— 


_ 






















agenc) action 


Review 


78 


83.3 


81 


84 





4 











4 








76-78 


83.3 


81 


84 





4 











4 






All 


76 


84.8 


79 


89 





4 











4 






Other 


77 

































Cases 


78 


lll.l 


63 


185 





7 


5 








12 








76-78 


104.5 


63 


185 





II 


5 








16 



177 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



FY 



Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearings 
sepororfe 
days per cose 


76 

77 

78 

76-78 




ALJ prehearing 
arsil hearings 

hours per cose 


76 

77 

78 

76-78 




ALJ Travels 
hours per cose 


76 

77 

78 

76-78 



Parties 



Paperwork 



PeHiticmers, resjKjn- 76 
dents, interveners 77 

(incluiding agency)? 78 

number per case 76-78 



Evidenltiary docu- 
ments (excluding 

briefs)s 
number per case 

Transcripts: 
pages per case 



Briefs; 

pages per cose 



Exhibits; 
pcqes per case 



Contested 

motionss 
number per cose 

Written opinions 
byALJs 
pages per case 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Coses with full or partial hearing — 

FYs 76 77 78 76-78 

Numbers 10 I 

Time/Effort (days, pages, etc.) Distribution of Cases by Time/Effort Item 



N 



Avg 



Min 



Max 



2.0 
2.0 



5.0 
5.0 



0-2 


3-9 


10-59 


60-199 


200+days, etc. 


(cases) 










































































1 














1 






































1 














1 





























































































































































































































































































































































































































































































































1 











1 









































1 











1 



Procedures— 

These actions are for the purpose of reviewing the 
performance of mortgagees who deal in mortgages insured by 
the Department. In these cases the Board (made up of HUD 
officials) determines that a mortgagee's approval be 
withdrawn and so notifies the mortgagee who has 30 days to 



request a hearing. The hearing officer (who need not be an 

Al I, but sometimes is) makes the initial determination, 

which is final unless reversed or modified within 30 days by 
the Secretary. 



178 



Agency: DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT 
Case type: Equal Opportunity 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: 116 8 



MANNER OF TERMINATION (number of cases) 



Not on Merits — 

Settlement 
Withdrawal 
Dismissal 
Other 

On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76 



77 



78 76-78 



AGENCY REVIEW (number of cases) 









1 


1 




















1 


1 




1 




1 




1 



3 




















3 


3 



Review- 


76 


77 


78 


76-78 


Yes: 
No: 


1 



1 



4 
2 


6 
2 


Result- 










Affirm 
Reverse 
Modify 
Remand/Other 


- 



1 






1 





4 





6 



Fl APSED TIME DATA 


























>e 


Case 
Breakdowi 


n FY 
76 


Elapsed Time (days) 
Avg Min Max 


Distribution 


of Cases by Elapsed Time (cases) 


N 


Stage of Coj 


0-lmo 1 


-4mo 


4-l2mo 


l-2yr 




2yr+ 




(cases] 


Prehearing 


Private complaint 


All 
















or Departmental 


Cases 


77 


— 


— 


_ 






















investigation / 




78 


22.5 


12 


38 


3 


1 











4 




Referral to CALJ 




76-78 


22.5 


12 


38 


3 


1 











4 


Hearing 


Referral to CALJ / 


With ALJ 


76 


216.0 


216 


216 








1 








1 




Date of ALJ's 


Hearing on 77 


_ 




























decision or order 


Merits 


78 


328.0 


328 


328 








1 








1 








76-78 


272.0 


216 


328 








2 








2 






All 


76 





__ 


-._ 
























Other 


77 

































Cases 


78 


146.0 


65 


271 





2 


1 








3 








76-78 


146.0 


65 


271 





2 


1 








3 


Posthieta-ing 


ALJ's decision or 


With 


76 





.. 


„ 






















order / Final 


Agency 


77 


— 


_ 


_ 






















agency action 


Review 


78 


55.3 





155 


2 





1 








3 








76-78 


55.3 





155 


2 





1 








3 






All 


76 


„ 





_. 
























Other 


77 


_ 






























Cases 


78 











1 














1 








76-78 











1 














1 


Totol Time 


Private complaint 


With 


76 


_ 


„ 


„ 






















or Departmental 


Agency 


77 


— 


— 


— 






















investigation/Final 


Review 


78 


232.7 


126 


442 








2 


1 





3 




agency action 




7^78 


232.7 


126 


442 








2 


1 





3 






All 


76 





„ 


„_ 
























Other 


77 

































Cases 


78 


103.0 


103 


103 





1 











1 








76-78 


103.0 


103 


103 





1 











1 



179 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



FY 



Prehearing 


ALJ prehearing 


76 


& Hearing 


Qnd hearings 


77 


Time 


sepcwafe 


78 




days per cose 


76-78 




ALJ prehearing 


76 




and hearing; 


77 




hours per case 


78 
76-78 




ALJ Travels 


76 




hours per cose 


77 

78 

76-78 



Parties 



Pa|>erwork 



PetiticmerSj respon- 76 

dents, intervertors 77 

(including agency); 78 

numbeir per case 76-78 



Evidentiary docu- 
ments (excluding 
briefs)s 
number per cose 

Tronscriptss 
pages per cose 



Briefss 

pages per case 



Exhibits: 
pt^es per cose 



Ccotested 
motions; 
number per case 



Written opinions 
by ALJ: 
pages per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Time/Effort (days, pages, etc.) 



Avg 



Min 



Max 



Cases with full oi 


portia 


hearing — 






FY; 




76 


77 


78 


76-78 




Numbers 




I 


1 


1 


3 




Distribut 


'on of Cases by Time/Effort Stem 


N 


0-2 : 


i-9 


10-59 


60-199 20O+days, etc. 


(cases) 



































































































































































































































































































































































































































































































































































































































































































































































































































Procedures — 

These actions involve the termination of Departmental 
assistance to grantees who fail to use funds in a non- 
discriminatory manner. As such, these are specialized 
debarment cases and should be treated separately. ALJs are 
reauired. The oversight applies to 38 acts administered by 
HUD and listed in Appendix A of 24 CFR part I. These cases 
begin one of three ways: private complaint, Departmental 
investigation, or through a periodic compliance review. The 



formal proceeding is commenced by mailing the notice of 
hearing. Respondent has 20 days to answer and request a 
hearing. The ALJ makes either the initial decision or, in 
some cases, o recommended decision. The "responsible 
Departmental official" then decides either to terminate the 
assistance (which is not final until approved by the 
Secretary), or not to terminate the assistance (which decision 
is final). 



180 



Agency: DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT 
Case type: Mobile Home Construction and Safety Standards Act 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: 2 6 23 31 



MANNER OF TERMINATION (number of coses) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 


















2 





2 


1 


4 


23 


28 














1 








1 



























AGENCY REVIEW (number of cases) 



Review- 


76 


77 


78 


Yes: 
No: 


1 
1 



6 



23 


Result- 








Affirm 
Reverse 
Modify 
Remand/Other 






1 















76-78 



30 



ELAPSED TIME DATA 


























5e 

Start of inquiry or 
evaluation of state 
performance / 
Referral to CALJ 


Case 
Breakdow 


n FY 

76 

77 

78 

76-78 


Elapsed Time (days) 
Avg Min Max 

20.0 8 32 
13.0 8 19 

22.3 12 44 

20.4 8 44 


Distribution of Cases by Elapsed Time (cases) 


N 


Stage of Ca 


0-lmo 


I-4mo 


4-l2mo 


l-2yr 







2yr+ 







(cases) 


Prehearing 


All 
Coses 


1 

6 
18 
25 


1 


5 
6 








2 

6 

23 

31 


Hearing 


Referral to CALJ / 
Date of ALJ's 
decision or order 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


133.0 
133.0 


133 
133 


133 
133 














1 




1 














1 




1 






All 

Other 

Cases 


76 

77 

78 

76-78 


205.0 
205.0 


205 
205 


205 
205 














1 




1 














1 




1 


Post hearing 


ALJ's decision or 
order / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


- 


- 


- 











































All 

Other 

Cases 


76 

77 

78 

76-78 


- 


;; 


- 






































Total Time 


Start of inquiry or 
evaluation of state 
performance/ Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


;; 


- 


- 










































All 

Other 

Cases 


76 

77 

78 

76-78 


95.7 
351.0 
298.2 


60 

132 

60 


203 
361 
361 









5 

5 




1 

23 
24 
















6 

23 

29 



181 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or partial hearing- 



Item 



FY 



Prehearing 


ALJ prehearing 


76 


& Hearing 


and hearings 


77 


Time 


separate 


78 




days per cose 


76-78 




ALJ prehearing 


76 




oixl hearings 


77 




hours per cose 


78 
76-78 




ALJ Travel: 


76 




hours per case 


77 

78 

76-78 



Parties 



Paperwork 



Petiticneirs, respon- 76 
dents, intervenors 77 

(including agency); 78 

number per case 76-78 



Evidentiary docu- 
ments (excluding 
briefs)s 
number per case 

Transcripts: 
pages per cose 



Briefss 

pc^es per cose 



Exhibitss 
pages per case 



Contested 
motionss 
number per cose 



Written opinions 
by ALJs 
pages per case 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 
77 
78 

76-78 

76 

77 

78 

76-78 



Time/Effort (days, pages, etc.) 



Avg 



Min 



Max 



FY: 




76 


77 


78 


76-78 




Number: 




1 





23 


24 




Distribution of Cases by Time/Effort Item 


N 


0-2 3-9 


10-59 


60-199 20G+days, etc. 


(coses) 


































































































































































































































































































































































































































































































































































































































































































































































































































before rejecting o 


state 


enforcement plan. 




Section 5422(d) 


t 













Procedures — 

The Act requires the Secretary to set standards for all 
mobile homes manufactured for sale in the U.S. after 
June 15, 1976. Hearings may be conducted in several 
instances: 

a) whenever practicable, the Secretary must give 
a person notice and an opportunity to present 
views before seeking injunctive relief against 
him. Section 541 I (a); 

b) whenever the Secretary contemplates making 
a determination of an imminent safety hazard 
or serious defect, Section 5414(e); 

c) before requiring correction of defects, Section 
5414(g); 



d) 



e) before making a negative evaluation of a 
state's administration of on enforcement plan. 
Section 5422(f). 

ALJs are arguably required in a, b & c, and definitely 
required in d and e. Some of the hearings are conducted 
under a shortened procedure with a recommended decision by 
the presiding officer and a final determination by the 
Secretary within 30 days. Others are formal with an initial 
decision made 10 days after the hearing, which is final unless 
reversed or modif iea by the Secretary. 



182 

Agency: DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT 
Case type: Cases of Other Agencies 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: 21 12 13 46 



MANNER OF TERMINATION (number of coses) 

Not on Merits- 76 77 78 76-78 



AGENCY REVIEW (number of cases) 



Settlement 
Withdrawal 
Dismissal 
Other 




2 
1 
1 
4 


3 
1 

2 
5 


1! 



1 


16 
2 
3 

10 




Review- 
Yes: 
No: 

Result- 




76 

10 
II 


77 

1 
II 


78 76-78 

1 12 
12 34 




On Merits— 

ALJ Hearing & Decision 1 2 
ALJ Hearing w/o Decision 1 
ALJ Decision w/o Hearing 



1 






1 


12 
2 
1 




Affirm 
Reverse 
Modify 
Remand/Other 


1 



9 






1 





1 


1 




II 




ELAPSED TIME DATA 
Stage of Cose 




Cose 
Breakdown FY 


Elapsed Time 
Avg Min 


(days) 
Max 


Distribution 
0-lmo 1 


of Cases by Elapsed Time (cases) 
-'hno 4-l2mo l-2yr 2yr+ 


N 
(cases) 


Prehearing 




All 
Cases 


76 

77 

78 

76-78 


II 1.2 
21.0 
10.8 
57.9 


8 

21 

3 

3 


204 
21 
27 

204 


2 
1 

6 
9 








4 


4 

















6 
1 

6 
13 


Hearing 




With ALJ 76 

IHearing on 77 

Merits 78 

76-78 


201.0 
201.0 


65 
65 


525 

525 








2 


2 


6 


6 


I 




1 











9 


9 






All 

Other 

Cases 


76 

77 

78 

76-78 


39.0 
39.0 


39 
39 


39 
39 








1 




1 























1 




1 


Post hearing 




With 

Agency 

Review 


76 

77 

78 

76-78 


- 


I 


- 














































All 

Other 

Cases 


76 

77 

78 

76-78 


- 


- 


- 









































Total Time 




With 

Agency 

Review 


76 

77 

78 

76-78 


196.0 
196.0 


196 
196 


196 
196 




b 











1 




1 
















1 




1 






All 

Other 

Cases 


76 

77 

78 

76-78 


365.5 

203.0 

45.5 

134.1 


166 

203 

22 

22 


565 
203 
101 
565 




2 
2 





4 
4 


1 

1 


2 


1 




1 










2 

1 

6 
9 



183 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or partial hearing — 



Item 



Prehearing ALJ prehearing 
& Hearing and hearing: 
Time separate 

days per cose 



Forties 



Paperwork 



ALJ prehearing 
and heoringi 
hours per cose 



ALJ Travels 
hours per cose 



Petitioners, respon- 
dents, interveners 
(including ctgertcy)s 
number per case 

Evidentiary dccui- 
ments (excluding 
briefs); 
number per case 

Transcripts: 
pages per cose 



Briefs: 

pages per cose 



Exhobitss 
pages per cose 



Contested 
motions: 
number per cose 



Written opinions 
by ALJ: 
pages per cose 



FY 



76 
77 
78 

7S-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Time/Effort (days, pages, eic) 



Avg 



7.0 



Min 



Max 



7.0 


7 


7 


30.0 


30 


30 


30.0 


30 


30 




















8.0 


8 


8 


8.0 


8 


8 


96.0 


96 


96 


96.0 


96 


96 


071.0 


1071 


1071 


071,0 


1071 


1071 


132.0 


132 


132 


132.0 


132 


132 


800.0 


800 


800 


800.0 


800 


800 


3.5 


1 


6 


3.5 


1 


6 


37.0 


37 


37 



37.0 



37 



37 



FY: 




76 




77 


78 


76-78 




Numbers 




1^1 




2 





16 




Distribution of Cases by Time/Effort Item 


N 


(5-2 3-9 


10-59 


60-199 200+days, etc. 


(cases) 





1 















1 

















































1 















1 










I 










i 






















































1 










) 


1 


















1 














































1 


















1 





1 















1 

















































1 















1 















1 





1 



























































1 





1 


















1 


1 






























































1 


1 















1 





1 



























































1 





1 


















1 


1 






























































1 


1 


1 


1 















2 














































1 


1 















2 










1 










1 






















































1 










1 



Procedures — 

A varied mix of cases from other agencies, but heard and 
initially decided by HDD's ALJ. 



DEPARTMENT OF THE INTERIOR 
Hearings Division 



Case Type 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



FY 



Cases New Cases 

Pending at Referred to 
Start of FY Of f ice of ALJs 



Coses 

Terminated Cases 

by Hearings Pending at 

Division End of FY 



Coal Mine Health and Safety Act ' 
Applications for Compensation 

30 use 820(a) 

43 CFR 4.560 (1 977) 

Applications for compensation initiated by a miner (or his 
representative) who is idled b/ an order of withdrawal or who 
claims he was not withdrawn due to the operator's non- 
compliance with an order to do so. 



(75) 




9 


3 




76 


7 


5 


12 





77 





9 


4 


5 


78 


5 


2 


2 


5 



76-78 



Coal Mine Health and Safety Act ° 
Civil Penalty Cases 

30 use 819 

43 CFR 4,540 (1977) 

Proceedings to determine whether a mine operator or miner 
has violated a mandatory health and safety standard and, if so, 
the amount of penalty to be assessed. 



(75) 



76-78 



3753 



4350 



9106 



76 


5289 


2422 


6078 


1633 


77* 


1633 


1162 


2088 


653 


78 


653 


766 


415 


1004 



8581 



Discrepancy in arithmetic not explained by agency. 



Coal Mine Health and Safety Act ' 
Petitions for Modification of the Application of Safety Standards 

30 use 861(c) 

43 CFR 4.550 (1977) 

Proceedings initiated by a mine operator or representative 
of miners to hear petitions for modification of the application 
of any mandatory safety standard. 



(75) 




137 


178 




76 


143 


702 


218 


627 


77 


627 


266 


394 


499 


78 


499 


43 


184 


358 



76-78 



796 



Coal Mine Health and Safety Act ' 
Review of Discrimination 

30 use 820(b) 

43 CFR 4.560 (1 977) 

Applications initiated by a miner (or his representative) who 
claims that the invocation of his rights under the Act led to his 
discharge or to discriminatory treatment against him. 



(75) 




6 


2 




76 


7 


15 


7 


15 


77 


15 


21 


16 


20 


78 


20 


12 


8 


24 



76-78 



48 



31 



° All Coal Mine Health and Safety Act cases were transferred to the Federal Mine Safety and Health Review Commission (see 
page 158) on March 8, 1978. The Department reported that 1,528 cases pending in the Hearings Division were transferred. 



185 



DEPARTMENT OF THE INTERIOR (continued) 

Hearings Division 



Cose Type 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1 975 from previous pubiica'tion) 



Coses 
Pending at 
FY Start of FY 



New Cases 

Referred to 

Office of ALJs 



Cases 

Terminated Cases 

by Hearings Pending ai 

Division End of FY 



Coal Mine Health and Safety Act ° 
Review of Orders of Withdrawal and Notices of Violation 

30 use 815 

43 CFR 4.530 (1 977) 

Proceedings whereby a mine operator or a representative of 
miners, in any mine affected by an order to withdraw all 
persons from the mine for violations of safety standards, may 
be heard to challenge such order or the modification or 
termination thereof. 



(75) 




252 


319 




76 


320 


233 


303 


107* 


77 


107 


227 


181 


153 


78 


153 


195 


211 


137 



76-78 ^ 655 

Recounted during the year. 



695 



Endangered Species Ac1t 
Civil Penalty Coses 

1 6 use 668aa et seq. 
50 CFR I I 

Civil penalty proceedings to determine whether the 
respondent has knowingly violated any provisions of the Act or 
of any permit or regulation issued thereunder and, if so, the 
amount of the penalty. 



(75) 




21 


14 




76 


13 


21 


28 


6 


77 


6 


32 


16 


22 


78 


22 


38 


44 


16 



76-78 



91 



88 



Bureau of Land Management 
Desert Land Cases 
43 use 32 1 et seq. 
43 CFR 4.450 

Proceedings by government or private party to determine 
the validity of entry under the desert land laws. 



(75) 







6 




76 


3 


3 


4 


2 


77 


2 


7 


7 


2 


78 


2 


2 


2 


2 



76-78 



12 



Bureau of Land Management , 
Crazing Appeals 

43 use 3ISh 

43 CFR 4.470, 4100 

Appeals by applicants for, or holders of, grazing permits or 
licenses issued under the grazing laws for grazing privileges on 
the public domain. 



(75) 




43 


35 




76 


43 


31 


42 


32 


77 


32 


23 


26 


29 


78 


29 


26 


32 


23 



76-78 



80 



100 



° All Coal Mine Health and Safety Act cases were transferred to the Federal Mine Safety and Health Review Commission (see 
page 158) on March 8, I 978. The Department reported that 1,528 coses pending in the Hearings Division were transferred. 



° No data on individual cases were reported. 



186 



DEPARTMENT OF THE INTERIOR (continued) 
Hearings Division 



Cose Type 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



FY 



Cases 
Pending at 
Start of FY 



New Cases 

Referred to 

Office of ALJs 



Cases 

Terminated Cases 

by Hearings Pending at 

Division End of FY 



43 use 3l5h 
43 CFR 4.470. 



4140 



Bureau of Land Management 
Grazing Enforcement " 



Proceedings against 
violation of tiie terms 
regulations governing grazing on the public domain. 



grazing permittees or licensees for 
of tlie permit or license or of the 



(75) 




9 


5 




76 


5 


8 


7 


6 


77 


6 


3 


7 


2 


78 


2 


2 


4 






76-78 



13 



Bureau of Land Management 
Homestead Cases ° 

43 use 1 85 
43 CFR 4.450 

Proceedings by government or private party to determine 
the validity of entry under the homestead laws. 



(75) 



76 
77 
78 



76-78 



16 



Bureau of Land Management 
Multiple Mineral Development Claims Adjudications ° 

30 use 52 1 et seq. 
43 CFR 4.450 

Proceedings to determine the validity of unpatented mining 
claims located prior to 1954 for the purpose of establishing the 
authority of the locator to control certain leasable minerals. 
If the claim is found to be invalid, the right to control and 
lease the leasable minerals reverts to the government. 



(75) 


3 


3 


76 1 





1 


77 1 





1 


78 1 





1 



76-78 



Bureau of Land Management 
Mineral Adverse Proceedings ° 

30 use 22 

43 CFR 4.450, 387 1 

Proceedings to determine the validity of located but 
contested mining claims. Issues involve: who claimed the land 
first, whether the claim was properly recorded, who discovered 
minerals first, and whether the initial claim has lapsed for 
failure to develop the claim. The government often initiates 
the contest in order to clear the way for withdrawing the land 
from the operation of mining lows (e.g., to establish a national 
park). 



(75) 




53 


51 




76 


124 


124 


94 


153* 


77 


153 


73 


105 


121 


78 


121 


189 


138 


172 



76-78 ^ 386 

Recounted during the year. 



337 



' No data on individual cases were reported. 



187 



DEPARTMENT OF THE INTERIOR (continued) 
Hearings Division 



Case Type 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1 975 from previous publication) 



Cases New Coses 

Pending at Referred to 
FY Start of FY Office of ALJs 



Cases 

Terminated Cases 

by Hearings Pending al 

Division End of FY 



Bureau of Land Manogement 
Mineral Patent Applications ° 

30 use 29 

43 CFR 4.450, 3860 

Applications to acquire a patent (fee simple title) to land 
claimed and located for suspected mineral deposits. In order 
to gain c patent (often practically unnecessary) a locator must 
demonstrate a discovery of minerals and that he has invested 
at least $500 in the development of the claim. 



(75) 




4 


5 




76 


24 


19 


5 


39* 


77 


39 


13 


II 


41 


78 


41 


8 


20 


29 



76-78 ^ 40 

Recounted during the year. 



36 



Bureau of Land Management 

Rights Restoration Act Claims ° 
30 use 62 1 
43 CFR 4.450 

Proceedings to determine, with respect to placer mining 
claims, located on power sites, whether placer mining should 
be prohibited, permitted without restriction, or permitted 
subject to restoration of surface. 



(75) 




20 


18 




76 


17 


8 


22 


3 


77 


3 


6 


8 


1 


78 


1 


38 


19 


20 



76-78 



52 



49 



Bureau of Land Management 
Surface Resources Claims Adjudications "^ 
30 use 613 
43 CFR 4.450 

Proceedings to determine the validity of unpatented mining 
claims, located prior to July 23, 1 955, for the purpose of 
establishing authority of the United States to manage the 
surface resources of the claims. 



(75) 



76 
77 
78 



76-78 



13 



13 



Bureau of Land Management 
Private Contests ° 
43 use 2, 1201 
43 CFR 4.450 

Proceedings whereby a person who claims title to or interest 
in public lands adverse to any other person so claiming may 
seek to have the letter's claim invalidated for any reason not 
shown by the records of the Bureau of Land Management. 



(75) 







1 




76 





3 


1 


2 


77 


2 


1 


2 


1 


78 


1 


3 


1 


3 



76-78 



° No data on individual cases were reported. 



188 



DEPARTMENT OF THE INTERIOR (continued) 
IHearings Division 



Cose Type 



ANNUAL Caseload inventory 

Fiscal Years 1976-1978 
(and FY 1 975 from previous publication) 



Cases 
Pending at 
FY Start of FY 



New Cases 

Referred to 

Office of ALJs 



Cases 

Terminated Cases 

by Hearings Pending at 

Division End of FY 



Bureau of Land Management 
Discretionary Hearings ° 

43CFR^.4I5 

Various discretionary hearings conducted by the Hearings 
Division for the Bureau of Land Managennent. 



(75) 




13 


3 




76 


13 


13 


9 


17 


77 


17 


18 


8 


27 


78 


27 


17 


21 


23 



76-78 



48 



38 



Surface Mining Control Act of 1 977 
Civil Penalty Cases ° 

30 use 1 268 
43CFR4.II00 

Petitions for review of assessment of civil penalty proposed 
by the Office of Surface Mining for violation of the Act . 



(75) 



76 
77 
78 



76-78 



[6 



16 



Surface Mining Control Act of 1 977 
Notices of Violation and Cessation Orders ° 

30 use 1271(a)(2), (3) 
43 CFR 4.1100 

Applications for review of notices of violations and orders 
of cessation or modifications, vacations, or terminations 
thereof. 



(75) 



76 
77 
78 



76-78 



55 



55 



46 



Miscellaneous Hearings ° 



Environmental analyses, various public hearings, and 
rulemakings assigned to ALJs. 



(75) 




27 


27 




76 


6 


67 


49 


24 


77 


24 


70 


79 


15 


78 


15 


94 


56 


53 



76-78 



231 



184 



' No data on individual cases were reported. 



189 



DEPARTMENT OF THE INTERIOR (continued) 
Hearings Division 



Case Type 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Cases 

Pending at 
FY Start of FY 



New Coses 

Referred to 

Office of ALJs 



Coses 

Terminated Cases 

by Hearings Pending at 

Division End of FY 



Indian Probate ° 

25 use 371-373 
43 CFR 4.200 

Various Indian probate determinations heard by a specialized 
corps of eleven judges who are technically not fully-qualified 
ALJs. 



(75) 



76 
77 
78 



1763 
2022 
1749 



N/A 



2900 
2216 
2083 



N/A 



2641 
2488 
1877 



2022 

1749' 

1955 



76-78 ^ 7199 

Recounted during the year. 



7006 



Summary of ALJ Actions in Terminated Coses (Hearings Division) 



Case Type 


FY 


Terminated 


Decisions 


Summary 
Dismissal 


Coal Mine Health and Safety Act 
(all case types) 


1976 
1977 
1978 


6618 

2683 

820 


2562* 

936 

N/A 


4056 
1747 
N/A 


Public Lands 
(all case types) 


1976 
1977 
1978 


191 

186 
247 


132 
138 

N/A 


59 

48 

N/A 


Endangered Species Act 


1976 
1977 
1978 


28 
16 
44 


13 

7 
N/A 


15 

9 

N/A 



1784 of these were default Judgments. 



° No data on individual cases were reported. 



190 



ANNUAL CASELOAD INVENTORY 
Fiscal Years 1976-1978 



DEPARTMENT OF THE INTERIOR (continued) 
Appeals Boards * 



Case Type 



FY 



Cases 
Pending at 
Start of FY 



New Cases 

Referred to 

Office of ALJs 



Cases 

Terminated Cases 

by Appeals Pending at 

Boards End of FY 



Board of Land Appeals 



Appeals of cases heard initially by ALJs for the Bureau of 
Land Management. These totals also include some non-ALJ 
cases. 



(75) 



7fr-78 



N/A 



N/A 



76 


N/A 


N/A 


N/A 


N/A 


77 


N/A 


N/A 


N/A 


N/A 


78 


634 


662 


512 


784 



Board of Surface Mining ApF>eals 



The Board began receiving appeals in April 1978 concerning 
small operator exemptions. The Department expects a 
substantial increase in caseload for the Board in FY 1979 and 
FY 1980. 



(75) 



76 
77 
78 



76-78 



72 



68 



72 



Board of Indian Appeals 



Appeals of Indian probate cases. The Department expects 
the FY 1 979 cose output to increase to approximately 90 cases 
decided, due to the following; (I) the Board has received a 
special delegation from the Director of the Office of Hearings 
and Appeals to decide all Alaska Native Disenrollment appeals, 
and (2) appeals from decisions of the Commissioner of the 
Bureau, of Indian Affairs are beginning to resurface. With 
respect to the latter, during most of Fiscal Year 1978 there 
was no Commissioner of the Bureau, and appeals to the head of 
that office were disposed of by the Assistant Secretary for 
Indian Affairs. 



(75) 



76-78 



N/A 



N/A 



76 


N/A 


N/A 


N/A 


N/A 


77 


N/A 


N/A 


N/A 


N/A 


78 


23 


22 


40 


5 



Board of Contract Appeals 



Appeals by contractors. Appeals are heard by special three- 
member panels. ALJs are not involved. 



(75) 



76-78 



N/A 



N/A 



76 


N/A 


N/A 


N/A 


N/A 


77 


N/A 


N/A 


N/A 


N/A 


78 


56 


58 


56 


58 



These boards hear appeals of cases initially decided by the Hearings Division of the Office of Hearings and Appeals (see 
preceding pages) and elsewhere In the Department. An individual case may be reported as a board of appeals case as well as a 
Hearings Division case. No individual case data are reported for these cases. 



191 

ANNUAL CASELOAD INVENTORY 
Fiscal Years 1976-1978 



DEPARTMENT OF THE INTERIOR (continued) 
Appeals Boards ' 



Cose Type 



Coses 
Pending at 
FY Start of FY 



New Cases 

Referred to 

Office of ALJs 



Cases 

Terminated Coses 

by Appeals Pending at 

Boards End of FY 



Alaska Native Claims Appeals Board 



(75) 



76-78 



Teton Ad Hoc Appeals Board 



(75) 



76-78 



N/A 



N/A 



76 


N/A 


N/A 


N/A 


N/A 


77 


N/A 


N/A 


N/A 


N/A 


78 


69 


68 


83 


54 



N/A 



N/A 



76 


N/A 


N/A 


N/A 


N/A 


77 


N/A 


N/A 


N/A 


N/A 


78 


17 


84 


O 


32 



NOTE- 

The Board of Mine Operations Appeals was abolished in Marcli 1978 when all Coal Mine Health and Safety Act cases were 
transferred to the Federal Mine Safety and Health Review Commission. In FY 1976 (plus the transition quarter), the Board of Mine 
Operations Appeals terminated 101 cases. 



*These boards hear appeals of cases Initially decided by the Hearings Division of the Office of Hearings and Appeals (see 
preceding pages) and elsewhere in the Department. An individual case may be refxirted as a board of appeals case as well as a 
Hearings Division case. No individual case data are reported for these cases. 



192 



Agency: DEPARTMENT OF THE INTERIOR 

Case type: Coal Mine Health and Safety Act 
Applications for Compensation 



Case-Closed Cards Submitted — ° 

FY: 76 77 78 76-78 

Number: 2 



MANNER OF TERMINATION (number of coses) 

Not on Merits— 76 77 78 

Settlement 

Withdrawal - ~ 

Dismissal 

Other - - 

On Merits — 

ALJ Hearing & Decision 2 

ALJ Hearing w/o Decision 

ALJ Decision w/o Hearing 



76-78 



AGENCY REVIEW (number of coses) 



Review — 

Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remond/Other 



76 

2 




77 



78 76-78 



ELAPSED TIME DATA 



Stage of Case 



Prehearing 



Hearing 



Post hearing 



Total Time 



Cose 




Breakdown FY 


All 


76 


Coses 


77 




78 




76-78 


With ALJ 


76 


Hearing on 77 


Merits 


78 




76-78 


All 


76 


Other 


77 


Coses 


78 




76-78 


With 


76 


Agency 


77 


Review 


78 




76-78 


All 


76 


Other 


77 


Coses 


78 




76-78 


With 


76 


Agency 


77 


Review 


78 




76-78 


All 


76 


Other 


77 


Coses 


78 




76-78 



Elapsed Time (days) 
Avg Min Mox 



184.5 



153 216 



Distribution of Coses by Elapsed Time (coses) fvj 
0-lmo l-4mo it-\7mo l-2yr 2yr+ (cases) 













2 















Notes — 

° Due to tfie high volume of Coal Mine Health and Safety 
Act cases, ACUS agreed to the submission of a sampling of 
data for (976. No data on individual cases were submitted 
for FY 1 977 and FY 1 978. 



193 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



Time/Effort (doys, pages, etcJi 
FY Avg Min Max 



Cases with full or partial hearing — 

FY: 76 77 78 76-78 

Numberi 2 

Distribution of Coses by Time/Effort Item N 

0-2 3^9 10-59 60-199 200«jays, etc. (cases) 



Prehearing 


ALJ prehearing 


76 




& Hearing 


and hearing: 


77 


~ 


Time 


separate 


78 


~ 




days per case 


76-78 


~ 




ALJ prehearing 


76 







and hearing: 


77 


~ 




hours per cose 


78 


— 






76-78 


- 




ALJ Travel: 


76 







hours per cose 


77 


_- 






78 









76-78 


__ 



















Parties Petitiofiers, respon- 76 

dentSj interveners 77 

(including agency): 78 

number per case 76-78 

Paperwork Evidentiary docu- 76 

ments (excluding 77 

briefs): 78 

number per case 76-78 



Transcripts: 
pages per cose 



Briefs: 

poges per cose 



Exhibits: 
pcges per case 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 























Contested 76 

motions: 77 

number per cose 78 

76-78 

Written opinions 76 

by ALJ: 77 

pages per case 78 

76-78 











Note: In March 1 978 this type of cose was transferred to 
the Federol Mine Safety and Health Review Commission, with 
enforcement by the Mine Safety and Health Administration in 
the Department of Labor. 



194 



Agefx:y: DEPARTMENT OF THE INTERIOR 

Cose type: Coal Mine Health and Safety Act 
Civil Penalty Cases 



Case-Closed Cards Submitted— 
FY: 76 77 78 

Number: 372 



76-78 



MANNER OF TERMINATION (number of cases) 



Not on Merits- 
Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 



ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76 77 



157 

101 

19 



94 




78 76-78 



AGENCY REVIEW (number of cases) 

77 



Review- 


76 


Yes: 
No: 


49 
323 


Result- 




Affirm 
Reverse 
Modify 
Remand/Other 


33 
5 
8 
3 



78 76-78 



ELAPSED TIME DATA 



Stage of Case 


Case 
Breakdown FY 


Prehearing 


MESA'S complaint 
/ Referral to CALJ 


Alt 
Cases 


76 

77 

78 

76-78 


Hearing 


Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 






All 

Other 

Cases 


76 

77 

78 

76-78 


Posthearing 


ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 






All 

Other 

Cases 


76 

77 

78 

76-78 


Total Time 


MESA'S complaint 
/ Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 






All 

Other 

Coses 


76 

77 

78 

76-78 



Elapsed Time (days) Distribution of Cases by Elapsed Time (cases) |\| 
Avg Min Max 0-1 mo l-Amo 4-l2mo l-2yr 2yr+ (cases) 



216.8 



300.6 



220.5 



448.7 



1022 



904 



909 



34 653 



27 



390.5 264 62 1 



28 1041 



69 S3 109 65 5 311 



7 28 13 I 49 



27 119 60 44 13 263 



12 36 I 49 



320 320 



2 2 



I 24 90 156 48 319 



Notes — 

*" Due to the high volume of Coal Mine Health and Safety 
Act cases, ACUS agreed to the submission of a sampling of 
data for 1976. No data on individual cases were submitted 
for FY 1 977 and FY 1 978. 



195 



TIME AND EFFORT AT THE HEARING STAGE 



!1tem 



FY 



Prehearing 

& Hearing 
Time 


ALJ prehearing 
and hearing: 
sep>arate 
days per cose 


76 

77 

78 

76-78 




ALJ prehearing 
and hearing: 
hours per cose 


76 

77 

78 

76-78 




ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 



Parties PetiticnerSy respcn- 76 

dents, interveners 77 

(including agency): 78 

number per case 76-78 

Paperwork Evidentiary docui- 76 

ments (excluding 77 

briefs): 78 

number per cose 76-78 



Transcriplfss 
pages per cose 



Briefs: 

poges per ceise 



Exhibits: 
pages per cose 



Contested 
motions: 
number per case 

Written opinions 
by ALJ: 
poges per case 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Time/Effort (days, pages, etc.) 
Avg Min Max 



Cases with full or partial hearing — 

FY: 76 77 78 76-78 

Number: 96 

Distribution of Cases by Time/Effort Item 



B.6 3 

3.6 3 



199 



199 



N 



0-2 


3-9 


10-59 


60-199 


ZOOtdcys, etc. 


(coses) 













































































































































































































































































































































































2 


9 


15 





26 









































2 


9 


15 





26 



































































































































































































































































































Procedures— 

These cases were initiated by the Mining Enforcement and 
Safety Administration (MESA) by filing a complaint with the 
Office of Hearings and Appeals. The respondent had 30 days 
after service to answer and request o hearing. If the 
respondent failed to respond to a prehearing order, the OHA 
issued an order to show cause why the respondent should not 
be held in default. If such an order was not satisfied, the 
hearing was deemed waived and the penalty assessed. After 
service of the ALJ's decision, the losing party could file a 



notice of appeal to the Board of Mine Operations Appeals 
within 20 days. Twenty days were allowed for briefing and 
reply briefing. 

Note: In March 1 978 this type of case was transferred to 
the Federal Mine Safety and Health Review Commission,^ with 
enforcement by the Mine Safety and Health Administration in 
the Department of Labor. 



196 



Agency: DEPARTMENT OF THE INTERIOR 

Cose type: Coal Mine Health and Safety Act 

Petitions for Modification of the Application of Safety Standards 



Case-Closed Cards Submitted— ° 

FY: 76 77 78 76-78 

Number: 215 



MANNER OF TERMINATION (number of cases) 



Not on Merits- 
Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 



ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76 77 78 76-78 


32 

- - 



lit 



105 



AGENCY REVIEW (number of cases) 



Review — 

Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 77 78 76-78 

12 
203 



ELAPSED TIME DATA 


























Case 




Elapsed Time (days) 


Distribution of Coses by Elapsed Time (cases) 


N 


Stage of Case 


Breakdown FY 


Avg 


Min 


Max 


0-lmo 


l-4mo 


4-i2mo 


l-2yr 


2yr+ 


(coses) 


Prehearing 


All 


76 


95.5 


2 


840 


14 


118 


31 


4 


1 


168 




Cases 


77 

78 

76-78 


~ 


~ 


- 


- 


- 


- 


- 


- 








- 


- 


- 


~ 


— 


— 


— 


~ 


~ 


Hearing 


With ALJ 


76 


579.3 


136 


1213 








2 


4 


3 


9 




Hearing on 77 


— 


— 


— 


— 


_ 


— 


— 










Merits 


78 

































76-78 


- 


- 


- 


- 


- 


- 


- 


- 


~ 




All 


76 


190.3 


4 


1213 


10 


64 


62 


21 


2 


159 




Other 


77 























__ 


__ 




Cases 


78 


























„ 






76-78 


- 


- 


- 


- 


- 


- 


~ 


- 


- 


Posthearing 


With 


76 


280.4 


79 


55 





3 


5 


4 





12 




Agency 


77 


~ 


_ 


_ 


— 


















Review 


78 


























_ 






76-78 


- 


~ 


~ 


- 


- 


- 


- 


- 


- 




All 


76 


0.4 





77 


198 


1 











199 




Other 


77 





























Cases 


78 

















_ 


_. 


__ 


._ 






76-78 


- 


~ 


- 


- 


- 


- 


- 


- 


- 


Total Time 


With 


76 


517.3 


231 


942 








3 


1 


3 


7 




Agency 


77 


— 


— 


_ 


_- 














Review 


78 


























_. 






76-78 


- 


- 


- 


- 


- 


- 


~ 


- 


- 




All 


76 


302.1 


13 


1249 


1 


41 


95 


54 


8 


199 




Other 


77 

















__ 





__ 


__ 




Cases 


78 

















_ 


__ 


__ 


._ 






76-78 


— 


— 


— 


- 


- 


- 


~ 


- 


- 



Notes— 

"No data on individual coses were submitted for FY 1977 
and FY 1 978. 



TIME AND EFFORT AT THE HEARING STAGE 



litem 



FY 



Time/Effort (days, (xiges, etc.) 



Avg 



Min 



Max 



197 



Cases with full or partial hearing — 

FY: 76 77 78 76-78 

Number: 15 

Distribirtion of Cases by Time/Effort Item N 

0-2 5I9 10-59 60-199 20aKiays, etc. (cases) 



Prehearing ALJ prehearing 
& Hearing and hearings 
Time separate 

days per case 

ALJ prehearing 
and hearing; 
hours per case 



ALJ Travels 
hours per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



















Parties Petitioners, respcn- 76 

dents, interveners 77 

(including agency): 78 

number [>er cose 76-78 

Paperwork Evidentiary doom- 76 

ments (excluding 77 

briefs): 78 

number per cose 76-78 



Transcripts: 
pages per case 



Briefs: 

pages per case 



Exhibits: 
pages per cose 



Contested 
motions: 
number per cose 



Written opinions 
by ALJ: 
poges per case 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



323.5 



173 











I 



I I 



















Note: In March 1 978 this type of case was transferred to 
the Federal Mine Safety and Health Review Commission, with 
enforcement by the Mine Safety and Health Administration in 
the Department of Labor. 



198 

Agency: DEPARTMENT OF THE INTERIOR 

Case type: Coal Mine Health and Safety Act 
Review of Discrimination 



Case-Closed Cards Submitted— ° 

FY: 76 77 78 76-78 

Number: 18 ~ — 



MANNER OF TERMINATION (number of cases) 
Not on Merits— 76 77 78 



76-78 



AGENCY REVIEW (number of cases) 



Settlement 









— 










Review- 




76 


77 


78 76-78 


Withdrawal 






3 













Yes: 
No: 




9 
9 








Dismissal 






5 















— 


— 


— 


Other 






















— 




""■ 


















Result- 












On Merits— 
















Affirm 




2 











ALJ Hearing & Decision 


9 













Reverse 






7 


— 


~ 


~ 


ALJ Hearing w/o 
ALJ Decision w/c 


Decision 
Hearing 1 


- 


- 


~ 




iVioairy 
Remand/Other 


- 


— 


— 


ELAPSED TIME DATA 


































Case 




Elapsed Time (days) 


Distribution 


of Cases by Elapsed Time (cases) 


N 


Stage of Case 






Breakdow 


n FY 
76 


Avg 

35.0 


Min 

1 


Max 

115 


0-lmo l-4mo 


4-l2mo 


l-2yr 




2yr+ 




(cases) 


Prehearing 


All 


10 


6 





16 








Cases 


77 

78 

76-78 


- 


- 


~ 


- 


- 


~ 


- 


- 


- 










- 


~ 


- 


~ 


- 


- 


- 


- 


- 


Hearing 






With ALJ 


76 


248.8 


66 


504 





2 


4 


2 





8 








Hearing on 77 


— 


__ 


.- 


— 























Merits 


78 








— 


— 

























76-78 


- 


- 


- 


- 


~ 


~ 


-- 


- 


~ 








All 


76 


77.6 


15 


173 


2 


4 


2 








8 








Other 


77 



































Cases 


78 








_ 




























76-78 


~ 


- 


- 


- 


- 


- 


~ 


- 


~ 


Posthearing 






With 


76 


177.3 


112 


248 





1 


3 








4 








Agency 


77 


_ 


— 


— 


_ 


_ 


_ 





— 











Review 


78 





































76-78 


- 


- 


- 


- 


~ 


~ 


- 


- 


~ 








All 


76 











8 














8 








Other 


77 



































Cases 


78 








— 




























76-78 


- 


- 


- 


~ 


- 


- 


~ 


- 


- 


Total Time 






With 


76 


216.7 


117 


295 





1 


2 








3 








Agency 


77 


— 


— 


~ 


~ 


_ 


— 


— 


_ 


_ 








Review 


78 


— 





— 




























76-78 


— 


- 


~ 


- 


- 


- 


- 


- 


- 








All 


76 


195.8 


54 


505 





5 


1 


2 





8 








Other 


77 



































Cases 


78 




















__ 
















76-78 


— 


— 


— 


— 


— 


— 


- 


— 


~ 



Notes — 

" No data on individual cases were submitted for FY 1977 
and FY 1 978. 



199 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



FY 



Cases with full or [xirtial hearing— 
FY; 76 77 78 

Number; 9 



76-78 



Time/Effort (days, pages, etc.) Distribution of Cases by Time/Effort Item 



N 



Avg 



Min 



Max 



Prehearing 


ALJ prehearing 


76 




& Hearing 


and hearing; 


77 


— 


Time 


separate 


78 


~ 




days per cose 


76-78 


— 




ALJ prehearing 


76 


— 




and (Tearing: 


77 


— 




hours per case 


78 


~ 






76-78 


— 




ALJ Travels 


76 


— 




hours per cose 


77 


— 






78 


— 






76-78 


— 



0-2 3-9 10-59 60-199 200+days, etc. (cases) 















Parties Petitioners, respon- 76 

dents, intervenors 77 

(including agency); 78 

number per cose 76-78 

Paperwork Evidentiary dccu- 76 

ments (excluding 77 

briefs); 78 

number per case 76-78 



TroTiscriptsi 
pages per cose 



Briefs; 

pages per cose 



Exhibits; 
pages per cose 



Contested 

motions; 
number per case 



Written opinions 
by ALJ; 
poges per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



123.3 



37 



296 











2 



















Nofe: In March I 978 this type of case was transferred to 
the Federal Mine Safety and Health Review Commission, with 
enforcement by the Mine Safety and Health Administration in 
the Department of Labor. 



200 



Agency: DEPARTMENT OF THE INTERIOR 

Cose type: Coal Mine Health and Safety Act 

Reviews of Orders of Withdrawal and Notices of Violation 



Case-Closed Cards Submitted— ° 

FY: 16 77 78 76-78 

Number: 259 



MANNER OF TERMINATtON (number of cases) 

Not on Merits— 76 77 78 

Settlement 

Withdrawal 43 

Dismissal 53 

Other A 

On Merits— 

ALJ Hearing & Decision 114 — — 

ALJ Hearing w/o Decision 

ALJ [Decision w/o Hearing 45 



76-78 



AGENCY REVIEW (number of cases) 



Review- 


76 


Yes: 
No: 


67 
192 


Result- 




Affirm 
Reverse 
Modify 
Remand/Other 


26 
9 
2 

30 



77 78 76-78 



ELAPSED TIME DATA 



Stage of Case 



Prehearing 



Hearing 



Posthearing 



Total Time 



Case 




Breakdown FY 


All 


76 


Cases 


77 




78 




76-78 


With ALJ 


76 


Hearing on 77 


Merits 


78 




76-78 


All 


76 


Other 


77 


Coses 


78 




76-78 


With 


76 


Agency 


77 


Review 


78 




76-78 


All 


76 


Other 


77 


Cases 


78 




76-78 


With 


76 


Agency 


77 


Review 


78 




76-78 


All 


76 


Other 


77 


Cases 


78 




76-78 



Elapsed Time (days) Distribution of Cases by Elapsed Time (cases) 
Avg Min Max 



45.0 



376.4 



16.4 



196.4 



233.8 



360 



49 1 544 



850 



569 



4I4.B 113 1126 



13 1553 



0-lmo l-4mo 4-l2mo l-2yr 2yr+ 



135 51 23 



14 35 



15 



19 81 28 5 2 



3 17 23 7 



191 



I 10 I 4 



7 91 64 8 20 



N 
(cases) 

209 



75 



135 



50 



191 



16 



190 



Notes— 

° Due to the high volume of Coal Mine Health and Safety 
Act cases, ACUS agreed to the submission of a sampling of 
data for 1976. No data on individual cases were submitted 
for FY 1 977 and FY 1 978. 



201 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



FY 



Prehearing 


ALJ prehearing 


76 


& Hearing 


and hearing: 


77 


Time 


separate 


78 




days per case 


76-78 




ALJ prehearing 


76 




and heoringi 


77 




hours per cose 


78 
76-78 




ALJ Travel; 


76 




hours per case 


77 

78 

76-78 



Coses with iFull or partial hearing— 

FYs 76 77 78 76-78 

Number; 1 24 



Time/Efforf (days, pages, etc.) Distribution of Cases by Time/Effort Item 



N 



Avg 



1.0 



Min 



iVtax 



0-2 3-9 10-59 60-199 200+<Jays, etc. (cases) 



10 











Parties Petitioners, respon- 76 

dents, interveners 77 

(incluiding agency); 78 

number per cose 76-78 

Paperwork Evidentiary docu- 76 

ments (excluding 77 

briefs)? 78 

number per case 76-78 



Transcripts: 
pages per case 



Briefs: 

poges per cose 



Exhibits: 
pages [>sr case 



Contested 
motions: 
number per case 



Written opinions 
by ALJ: 
poges per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



153.0 



375 











1 8 29 14 



















52 



^k3te: In March 1 978 this type of case was transferred to 
the Federal Mine Safety and Health Review Commission, with 
enforcement by the Mine Safety and Health Administration in 
the Department of Labor. 



202 



Agency: DEPARTMENT OF THE INTERIOR 

Cose type: Endangered Species Act 
Civil Penalty 



Case-Closed Cards Submitted— '^ 

FY: 76 77 78 76-78 

Number: 27 



MANNER OF TERMINATION (number of cases) 
Not on Merits— 76 77 78 



76-78 



AGENCY REVIEW (number of cases) 



Settlement 
Withdrawal 
Dismissal 
Other 






2 

13 



- 


- 


- 




Review- 
Yes: 
No: 

Result- 




76 

2 
25 


77 


78 


76-78 


On Merits— 
















Affirm 




2 


_ 


— 





ALJ Hearing & Decision 1 2 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 


- 


- 


- 




Reverse 

Modify 

Remand/Other 







- 


- 


- 


ELAPSED TIME DATA 
Stage of Case 






Case 
Breakdown FY 


Elapsed Time (days) 
Avg Min Max 


Distribution 
0-lmo 1 


of Coses by Elapsed Time (cases) j^j 
-4mo 'l-IZmo l-2yr 2yr+ (cases) 


Prehearing 






All 
Coses 


76 
77 


41.0 


41 


41 





1 











1 










78 
76-78 


— 


:: 


:: 


:: 


""* 


— 





_ 


— 


Hearing 






With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


291.3 


55 


547 





2 


6 


4 





12 








All 

Other 

Cases 


76 

77 

78 

76-78 


154.9 


20 


401 


1 


7 


5 


2 





15 


Post hearing 






With 

Agency 

Review 


76 

77 

78 

76-78 


174.0 


97 


251 





1 


1 








2 








All 

Other 

Cases 


76 

77 

78 

76-78 











25 














25 


Total Time 






With 

Agency 

Review 


76 

77 

78 

76-78 


- 





- 


























All 

Other 

Cases 


76 

77 

78 

76-78 


156.0 


156 


156 








1 








1 



Notes — 

° No data on individual cases were submitted for FY 1977 
and FY I 978. 



203 



TIME AND EFFORT AT THE HEAREHG STAGE 



Item 



FY 



Parties 



Paperwork 



Petitioners, respon- 76 
dents, interveners 77 

(including agency)i 78 

number per case 76-78 



Evidentiary docu- 
ments (excluding 
briefs): 
number per cose 

Transcripts; 
pages per case 



Briefs; 

pages per case 



Exhibits: 
pages per case 



Contested 
motionss 
number per case 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Cases with full or partial hearing — 
FY: 76 77 78 

Number: 14 



7&-78 



Time/Effort (days, pages, etc.) Distribution of Cases by Time/Effort Item 



N 



Avg Min 



Max 



Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearing: 
separate 
days per case 


76 

77 

78 

76-78 


- 




ALJ prehearing 
and hearing; 
hours per case 


76 

77 

78 

76-78 


- 




ALJ Travel: 
hours per case 


76 

77 

78 

76-78 


— 



0-2 S-9 10-59 60-199 200+days, etc. (cases) 



















65.5 



15 



185 



























2 















Written opinions 
by ALJ: 
pages per cose 



76 

77 

78 

76-78 











Procedures — 

The Director of the Fish and Wildlife Service initiates a 
proceeding by issuing a notice of violation. The respondent 
has 45 days to respond. If no settlement is reached during 
that period, the Director issues a notice of assessment. The 
respondent has 45 days to request a hearing. The case is then 
immediately assigned to on ALJ. Appeals from the ALJ's 
initial decision are to an ad hoc appeals board. 



20* 



INTERSTATE C0NW»1ERCE COMMISSION 



Statistics on the ICC's caseload and case processing 
time are developed within the Commission and are 
submitted to the Administrative Conference on a 
computer printout report prepared by the Assistant to 
the Managing Director for Information Systems. The 
ICC's in-house statistical reporting effort is among the 
most systematic of those agencies submitting data to 
ACUS. We have relied entirely on the accuracy of the 
data as generated within the ICC. 

The Commission divided its formal proceedings into 
nineteen categories (each of which had at least one 
closed case in the period FY 1976-78). Only cases that 
reached the stage of referral to an administrative law 
judge are included in the "new cases" column. Generally 
speaking, ICC formal proceedings are of three main 
types: formal complaints, formal investigations and 
applications. The 1 9 case types are each briefly 
described in the case load summaries and are analyzed 
separately in the following tables. The basic procedure 
followed in such cases is as follows: Whenever an 
application, complaint or order of investigation initiates 
a proceeding which might result in a hearing, the 
proceeding is forwarded to the Office of Proceedings. 
That office, along with the Chief Administrative Law 
Judge's Office, then makes a determination whether to 
assign the case for oral hearing or whether to use 
"modified procedure", a procedure in which no oral 
hearing is held, but verified written submissions are 
made to the presiding officer. If the case is deemed to 
be potentially a complicated one with disputed isssues 

of fact, the case will be forwarded to the CAI I's office 

for assignment to an ALJ for oral hearing. The 
remainder are adjudicated by modified procedure. In a 
few categories of cases, ALJs also preside over some 
modified procedure cases, but in most categories the 

CAI I's office will not see a case unless it is to involve 

an oral hearing. Other agency employees and "employee 
boards" preside over the bulk of the modified procedure 
cases. One difficulty with the ICC's statistics is that 
cases heard under the simplified and shorter "modified 
procedure" by ALJs are not separated from cases orally 
heard by ALJs. These cases are relatively few, 
however. 

When a case is referred to the CALJ's office, it is 
then referred to on individual ALJ. Whether the case is 
set for oral hearing, or is to be presided over by an ALJ 
according to the modified procedure, the ALJ, in most 
categories of cases, must write an initial decision which 
is subject to review when exceptions are filed or upon 
the Commission's own motion. (In a few types of cases, 



most notably in cases involving investigation and 
suspension of rates, where the Commission is under a 
statutory deadline to moke a decision, the Commission 
has, by regulation, done away with the initial decision in 
order to issue its final decision more speedily. 
However, in practice, the Commission still asks the ALJ 
to write a draft decision, not given to the parties, which 
serves as a recommendation to the Commission and is 
often released as the decision of the Commission.) 

The ALJ presides over the oral hearing (or the 
submission of written evidence in those modified 
procedure cases assigned to on ALJ). Oral argument 
may be permitted by the ALJ after the close of the 
hearing; otherwise the parties hove hS days to file trial 
briefs. Extensions and reply briefs are not permitted 
unless ordered by the Commission. In the usual case, 
where the ALJ issues an initial decision, the decision 
may become effective as the order of the Commission 
unless an exception is filed or the Commission stays the 
decision on its own motion. Exceptions must be filed 
within thirty days of service of the decision and any 
reply within twenty days. Oral argument before the 
Commission or other reviewing body (see below) is 
within the discretion of the reviewing body. 

The rules of practice governing procedure before 
the ICC, including the formal hearings described in this 
report, are found at 49 CFR part I 100. 

The rules of practice, however, do not shed much 
light on the procedures used by the Commission to 
review ALJs' initial decisions. As stated above, except 
in a few categories of cases, initial decisions are made— 
either by ALJs or employee boards. (In its report to 
ACUS, the ICC does not report on a case unless an ALJ 
is involved.) In most cases, where exceptions are filed, 

Al I initial decisions are reviewed by a "division" of the 

Commission consisting of 3 members. There are three 
divisions: Division I (Operating Rights), Division II 
(Rotes and Practices) and Division III (Finance and 
Service). These divisions also act as "Appellate 
Divisions" when a division has reversed or modified a 
decision by the ALJ. In such cases a petition for 
reconsideration is addressed to the same division acting 
in an appellate capacity (although the same 
Commissioners sit on the Appellate Division as sat on 
the Division.) Some cases ore not, however, initially 
reviewed by a division, but by an employee review board 
which has been delegated review authority by the 
Commission, with the possibility of further review by a 
division and the entire Commission. The entire 
Commission (eleven members) will not review a decision 



205 



by the division or appellate division unless it announces, 
on its own motion or after a petition, that a "matter of 
general transportation importance" is involved. 

The general reviewing procedures are set forth in 
the proposed rules at 49 CFR I 100.96-1 100.98, but the 
Commission's policies and practices regarding the 
particular reviewing authority of the three divisions and 
employee boards are not included In the rules. 
Information on this can be found only in the minutes of 
Commission meetings. 



ICC TABLES 

In the following ICC tables, the case (and the post- 
hearing stage) is deemed terminated when the 
Commission issues a notice to the parties that the 
decision has become final. Thus, even if no exceptions 
have been filed, there is a slight delay before such 
notice is given. 

Each type of case is treated separately and the 
information is analogous to that presented for the other 
agencies' cases. However, the prehearing stage is 
divided into two sub-stages to reflect the time taken 
between referral to the Office of Hearings and referral 
to the ALJ. The elapsed time for the hearing stage is 
further broken down by manner of termination to 
reflect either an ALJ decison on the merits or a 
dismissal/withdrawal. The latter grouping includes only 
those situations where the applicant agrees to withdraw 
his application or a complainant agrees to a dismissal of 
his complaint. 

As with the other tables in this report, the post- 
hearing stage and the total elapsed time figures are 
divided into cases with Commission review and all other 

cases. Reviewed cases include cases where the Al I's 

decision is not final because exceptions were filed or 
the Commission reviews on its own motion. Also 
included are those cases where the ALJ does not write 
an initial decision. 

The effect of agency review is also given for those 
cases where the ALJ's decision was reviewed. Minor 
modifications are considered affirmances; major 
modifications are considered reversals. The 

affirmances include a significant number of summary 
affirmances by the division or Commission, called 
"decisions and orders". In some instances the review 
results in a "declaratory order" which is a disposition by 
issuance of an order which does not terminate the 
controversy on the merits, but which may state the 
Commission's future policy. 

The only information available from the ICC 
corresponding to "Time and Effort at the Hearing Stage" 



is the number of hours of hearing. The problem with 
this is that most, but not all, dismissals and withdrawals 
show zero hours and all cases heard under modified 
procedure presumably show zero hours. We have 
therefore counted the number of cases that show a 
number of hours of hearing greater than zero, to arrive 
at an estimate of the number of hearings held in each 
category of case. 

The ICC publishes statistics relating to all of its 
activities in its Annual Report. The ICC's 1978 Annual 
Report (Appendix B, Table 1, pages 94 — 95) contains 
figures on the Commission's workload for fiscal years 
1976—78. Caseload and elapsed-time figures are 
presented for all proceedings, not just those heard and 

decided by Al Is. However, a glance at the Annual 

Report's two partial tables that contain figures for 
cases decided by an "effective ALJ initial decision" and 
cases "decided by final report after service of initial 
decision" will show somewhat different figures than 
were provided to us by the ICC. The differences 
occurred because, in its report to us, the ICC used more 
particularized case categories, and because a case was 
not included in our report (for a particular fiscal year) 
unless the Commission's final order was issued in that 
year. In the Annual Report, the case was considered 
closed when the unappealed ALJ or division decision was 
issued, resulting in a different grouping of the cases. 

Furthermore, the Office of Information Systems 
which supplied the report to ACUS has notified us that 
data for some cases (especially in FY 1976) were lost 
during a modification of its collection system. 
Therefore the caseload totals (especially for FY 1976) 
probably underestimate the actual caseload in many of 
the case types. In several case types, however (notably 
investigations and suspensions of proposed and existing 
rates), it appears from a comparison with the ICC 
Annual Report, that a number of dismissal cases in 
which no ALJ was involved may have been included 
erroneously in the report to ACUS. Nevertheless, the 
overall case-closed figures for the ICC as a whole are 
consistent with the Annual Report's figures and the 
elapsed times and other information given for each type 
of termination within each case type should represent at 
least a fair sampling of cases. 



206 



INTERSTATE COMMERCE COMMISSION ° 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Case Type 



FY 



Cases 
Pending at 
Start of FY 



New Coses 

Referred to 

Office of ALJs 



Cases Cases 

Terminated Pending at 
by Agency End of FY 



Operating Authority Applications 
Motor Carrier 

49 use 10923 
49CFR llOOet seq. 

Applications by motor carriers for operating authority. 

Some FY 1976 date are missing. 



(75) 



76-78 



1002 



2449 



723 



76 


N/A 


500 


286 


N/A 


77 


N/A 


775 


999 


N/A 


78 


N/A 


1174 


915 


1364 



2200 



Operating Authority Applications 
Freight Forwarder 

49 use 10923 
49CFR 1100 et seq. 

Applications by freight forwarders for operating authority. 



(75) 




8 


6 




76 


N/A 


5 


2 


N/A 


77 


N/A 


4 


5 


N/A 


78 


N/A 


5 


10 


7 



76-78 



14 



17 



Operating Authority Applications 
Water Carrier 

49 use 10923 
49CFR II 00 et seq. 

Applications by water carriers for operating authority. 



(75) 




5 


4 




76 


N/A 


3 


1 


N/A 


77 


N/A 


4 


6 


N/A 


78 


N/A 





7 






76-78 



14 



Of>erating Authority Complaints 
Motor Carrier 



49 use 10701, 10704 
49eFR 1100 et seq. 



Applications by motor carriers for operating authority. 
Some FY 1 976 data are missing. 



(75) 




46 


55 




76 


N/A 


57 


5* 


N/A 


77 


N/A 


42 


53 


N/A 


78 


N/A 


30 


50 


55 



76-78 



129 



108 



° All ICC pending figures, except final pending figures, are unavailable due to a loss of data by the ICC. 



207 



INTERSTATE COMMERCE COMMISSION ° (continued) 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Case Typte 



Cases 
Pending at 
FY Start of FY 



New Coses 

Referred to 

Office of ALJs 



Cases Cases 

Terminated Pending at 
by Agency End of FY 



Operating Authrarity Complaints 
Freight Forwarder 

49 use 10701, 10704 
A9CFR llOOet seq. 

Proceedings to determine whether, as charged in a 
complaint, a freight forwarder has operated in violation of the 
Act or regulations or authority, and if so, what action should 
be taken. 



(75) 




2 


4 




76 


N/A 


1 





N/A 


77 


N/A 


2 


i 


N/A 


78 


N/A 





1 


2 



76-78 



Operoting Authority Complaints 
Water Carrier 
49 use 10701, 10704 
49CFR llOOet seq. 

Proceedings to determine whether, as charged in a 
complaint, a water carrier has operated in violation of the Act 
or regulations or authority, and if so, what action should be 
taken. 



(75) 












76 


N/A 





I 


N/A 


77 


N/A 


1 


1 


N/A 


78 


N/A 





3 






76-78 



Investigation of Existing Rates (etc.) 

Water Carrier, Rail Carrier and Freight Forwarder 
49 use 10701, 10704 
49CFR llOOet seq. 

Formal investigations and complaints relating to the 
determination . of the lawfulness of existing rates, fares, 
regulations and practices of rail, water, and freight forwarder 
carriers. 

Case-closed figure likely includes some non-ALJ cases. 



(75) 




61 


82 




76 


N/A 


38 


61 


N/A 


77 


N/A 


24 


195 


N/A 


78 


N/A 


12 


147 


29 



76-78 



74 



403 



InvestigalHon oiF Existing Rates (etc.) 

Motor Carrier 
49 use 10701, 10704 
49CFR llOOet seq. 

Formal investigations and complaints relating to the 
determination of the lawfulness of existing rates, fares, 
regulations and practices of motor carriers. 

Case-closed figure likely includes some non-ALJ cases. 



(75) 




40 


48 




76 


N/A 


6 


21 


N/A 


77 


N/A 


4 


61 


N/A 


78 


N/A 


6 


68 


4 



76-78 



16 



150 



° All ICC pending figures, except final pending figures, are unavailable due to a loss of data by the ICC. 



208 



INTERSTATE COMMERCE COMMISSION ° (continued) 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Case Type 



FY 



Cases 
Pending at 
Start of FY 



New Cases 

Referred to 

Office of ALJs 



Cases Cases 

Terminated Pending at 
by Agency End of FY 



Investigation and Suspension of Proposed Rates (etc.) 
Water Carrier, Rail Carrier and Freight Forwarder 

49 use 10707-10708 
49CFR llOOetseq. 

Proceedings to investigate and determine the lawfulness of 
rates, fores, regulations and practices proposed by rail, water, 
and freight forwarder carriers. 

Case-closed figure likely includes some non-ALJ cases. 



(75) 




10 


10 




76 


N/A 


7 


35 


NM 


77 


N/A 


7 


27 


N/A 


78 


N/A 


2 


30 


1 



76-78 



16 



92 



Investigation and Suspension of Proposed Rates (etc.) 

Motor Carrier 

49 use 10708 
49CFR llOOetseq. 

Proceedings to investigate and determine the lawfulness of 
rates, fares, regulations and practices proposed by motor 
carriers. 

Case-closed figure likely includes some non-ALJ cases. 



(75) 




8 


7 , 




76 
77 
78 


N/A 
N/A 
N/A 


36 
15 

5 


361 
427 
273 


N/A 

N/A 

3 



76-78 



56 



1061 



Finance Docket 
Water Carrier, Rail Carrier and Freight Forwarder 

49 use 1 1301, 1 1343-1 1348 
49CFR llOOetseq. 

Proceedings to determine whether or not to approve certain 
financial transactions (mergers, consolidations, issuance of 
securities, etc.) by rail, water, and freight forwarder carriers. 

*This figure was adjusted by removing 78 abandonment 
cases which were included In the FY 1 975 totals. 



(75) 




31 


30* 




76 


N/A 


16 


51 


N/A 


77 


N/A 


21 


54 


N/A 


78 


N/A 


22 


37 


38 



76-78 



59 



142 



Finance Docket 
Motor Carrier 

49 use 1 1343-1 1348 
49CFR llOOetseq. 

Proceedings to determine whether or not to approve certain 
financial transactions (mergers, consolidations. Issuance of 
securities, etc.) by motor carriers. 



(75) 




91 


97 




76 


N/A 


80 


68 


N/A 


77 


N/A 


97 


114 


N/A 


78 


N/A 


78 


91 


143 



76-78 



255 



273 



All ICC pending figures, except final pending figures, are unavailable due to a loss of data by the ICC. 



209 



INTERSTATE COMMERCE COMMISSION " {continued) 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1 975 from previous publication) 



Cose Type 



Cases New Cases Coses Coses 

Pending of Referred to Terminated Pending at 
FY Start of FY Office of ALJs by Agency End of FY 



Tronsfeirs of Operating Authority 
Motor Carrier 
49 use 10926 
49CFR llOOet seq. 

Applications for transfer of a certificate or permit of a 
motor carrier. 



(75) 



76 


N/A 


6 


1 


N/A 


77 


N/A 





2 


N/A 


78 


N/A 


1 


2 


3 



76-78 



Rate Agreement Applications 

Motor Carrier 
49 use 10706 
49CFR 1100 et seq. 

Applications by motor carriers under section 5(a) of the Act, 
seeking Commission approval (and consequent antitrust 
immunity) of agreements between or among two or more 
carriers involving joint rates, etc. 



(75) 




2 


3 




76 


N/A 


1 


2 


N/A 


77 


N/A 


1 


2 


N/A 


78 


N/A 





3 






76-78 



Rate Agreement Applications 
Rail Carrier 



49 use 
49CFR 



0706 

1 1 00 et seq. 



Applications by railroads under section 5(a) of the Act, 
seeking Commission approval (and consequent antitrust 
immunity) of agreements between or among two or more 
carriers involving joint rates, etc. 



(75) 












76 


N/A 


3 





N/A 


77 


N/A 








N/A 


78 


N/A 


1 


3 


1 



76-78 



Through Shipment Applications 

49 use 10726 
49CFR 1 1 00 et seq. 

Applications by any common carrier seeking authority to 
charge less for through shipments than the sum of charges to 
all intermediate points. 



(75) 




3 


2 




76 


N/A 





1 


N/A 


77 


N/A 





1 


N/A 


78 


N/A 


1 


5 






76-78 



" All ICC pending figures, except final pending figures, are unavailable due to a loss of data by the ICC. 



210 



INTERSTATE COMMERCE COMMISSION ° (continued) 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Case Type 



Cases 
Pending at 
FY Start of FY 



New Cases 

Referred to 

Office of ALJs 



Cases Cases 

Terminated Pending at 
by Agency End of FY 



Abandonments 

49 use 10903-10909 
49 CFR 1 1 00 et seq. 

Applications by railroads and ferries to abandon or 
discontinue the operation of any part of their transportation 



(75) 




N/A 


78 




76 


N/A 


46 


36 


N/A 


77 


N/A 


42 


56 


N/A 


78 


N/A 


34 


37 


42 



76-78 



122 



129 



Ex Porte Proceedings 
Water Carrier, Rail Carrier or Freight Forwarder 



Investigations of broad scope and rulemaking proceedings 
undertaken by the Commission on its own initiative involving 
changes of codified regulations concerning water, rail, or 
freight forwarder carriers. 



(75) 




3 


3 




76 


N/A 


2 


2 


N/A 


77 


N/A 


4 


2 


N/A 


78 


N/A 





5 


2 



76-78 



Ex Parte Proceedings 
Motor Carrier 



Investigations of broad scope and rulemaking proceedings 
undertaken by the Commission on its own initiative involving 
changes of codified regulations concerning motor carriers. 



(75) 












76 


N/A 








N/A 


77 


N/A 


1 





N/A 


78 


N/A 





5 






76-78 



° All ICC pending figures, except final pending figures, are unavailable due to a loss of data by the ICC. 



211 



Agency! INTERSTATE COMMERCE COMMISSION 

Case types Operating Authority Applications 

Motor Carrier 



Cases Terminated— 








FY: 76 


77 


78 


76-78 


Numbers 286 


999 


915 


2200 



MANNER OF TERMINATION 

Dismissal/Withdrawal 
ALJ Decision Final 
ALJ Decision Reviewed 



76 



Number of cases 
77 78 76-78 



161 750 596 1507 
69 90 166 325 
56 159 153 368 



HEARINGS 

Total Cases 
Total Hours 



76 77 



78 76-78 



36 120 187 343 

397 1570 1961 3928 



EFFECT OF AGENCY REVIEW 



CASES PENDING AT YEAR END 



Affirm/Modify 
Reverse 
Declaratory Order 


38 109 

16 36 

2 15 


58 
30 
65 


205 
82 
82 




Up to 24 months old 471 
24 to 30 months old 50 
Over 30 months old 33 


623 

69 
46 


1241 
76 
47 


ELAPSED T 


ME DATA 
e 


Case 
Breakdowr 


FY 

76 

77 

78 

76-78 


Averc^e 


Elapsed Time N 






Stage of Cos 




(Days) 

106 
116 
106 
111 


(cases) 

285 

996 

908 

2189 




Prehsoring 


Origination / 
Referral to Office 
of Hearings 


AID 
Coses 






Office of Hearings 
/ Referral to ALJ 


All 
Coses 


76 

77 

78 

76-78 




192 
164 
149 
163 


167 

466 

404 

1037 






Hearing 


Referral to ALJ / 
ALJ order or 
decision 


With ALJ 
Decision 


76 

77 

78 

76-78 




116 
150 
143 

141 


125 
247 
313 
685 










Dismissal/ 76 

Withdrawal 77 

78 

76-78 




164 

52 

243 

153 


1 
1 
1 
3 






Post hearing 


ALJ order or 
decision / Final 
Commission action 


With 76 

Commission 77 

Review 78 

76-78 




280 
271 
268 
271 


56 
158 
148 
362 










All 

Other 

Cases 


76 

77 

78 

76-78 




61 
63 
42 
52 


70 

90 

166 

326 






Total Time 


Origination / Final 
Commission action 


With 76 

Commission 77 

Review 78 

76-78 




739 
681 
699 
697 


56 
158 
148 • 
362 










All 

Other 

Coses 


76 

77 

78 

76-78 




285 
241 
261 
255 


229 

838 

760 

1827 







Procedures — 

All applications for motor carrier operating rights are 
published in the Federal Register. After a 30 day period for 
filing protests has expired, the applications will be designated 
either for oral hearing or modified procedure. Only those 
cases deemed complex are assigned to the oral hearing 
docket, to be heard by ALJs. Some cases are first assigned to 
the modified procedure docket, but are later referred for oral 



hearing if the employee review board feels such treatment is 
warranted. 

Only those cases assigned or transferred to ALJs for 
hearing are reported above. 

Note: Data for some FY 1976 cases are missing. 



212 



Agency: INTERSTATE COMMERCE COMMISSION 

Cose type: Operating Authority Applications 
Freight Forwarder 



Coses Terminated— 








FY: 76 


77 


78 


76-78 


Number: 2 


5 


10 


17 



MANNER OF TERMINATION 

Dismissal/Withdrawal 
ALJ Decision Final 
ALJ Decision Reviewed 



Number of coses 
76 77 78 76-78 

13 3 7 

III 3 

16 7 



HEARINGS 

Total Cases 
Total Hours 



76 



77 



78 76-78 



EFFECT OF AGENCY REVIEW 



Affirm/Modify 





Reverse 





Declaratory Order 






CASES PENDING AT YEAR END 



3 


Up to 24 months old 


5 


5 


6 


16 


2 


24 to 30 months old 





3 


1 


4 


2 


Over 30 months old 















ELAPSED TIME DATA 





>e 

Origination / 
Referral to Office 
of Hearings 


Case 
Breokdowi 


Ave 
T FY ~ 

76 

77 

78 

76-78 


rage Elapsed Time 


N 


Stage of Cos 


(Days) 

100 
109 
103 
104 


(cases) 


Prehearing 


All 
Cases 


1 

4 
10 
15 




Office of Hearings 
/ Referral to ALJ 


All 
Cases 


76 

77 

78 

76-78 


179 



134 

125 


1 
1 

8 
10 


Hearing 


Referral to ALJ / 
ALJ order or 
decision 


With ALJ 
Decision 


76 

77 

78 

76-78 


36 
119 
396 
325 


1 
1 

7 
9 






Dismissal/ 76 

Withdrawal 77 

78 

76-78 


I 








Posthearing 


ALJ order or 
decision / Final 
Commission action 


With 76 

Commission 77 

Review 78 

76-78 


207 
207 




6 
6 






All 

Other 

Cases 


76 

77 

78 

76-78 


55 
70 
24 
50 


1 
1 

1 
3 


Total Time 


Origination / Final 
Commission action 


With 76 

Commission 77 

Review 78 

76-78 


342 
882 
805 




1 
6 

7 






All 

Other 

Cases 


76 

77 

78 

76-78 


544 
214 
244 
292 


2 

4 

4 

10 



Procedures — 

All applications for freight forwarder operating rights are 
publishea in the Federal Register. After a 30 day period for 
filing protests has expired, the applications will be designated 
either for oral hearing or modified procedure. Only those 
cases deemed complex are assigned to the oral hearing 
docket, to be heard by ALJs. Some coses are first assigned to 



the modified procedure docket, but are later referred for oral 
hearing if the employee review board feels such treatment is 
warranted. 

Only those coses assigned or transferred to ALJs for 
hearing are reported above. 



213 



Agency: INTERSTATE COMMERCE COMMISSION 

Cose type; Operating Authority Applications 
Water Carrier 



Coses Terminated — 

FY: 76 77 78 76-78 

Numbers 16 7 14 



76 



Number of coses 
77 78 76-78 



\NNER OF TERMINATION 












76 


77 


78 


76-78 


Dismissal/Withdrawal 





1 


1 


2 


HEARINGS 










ALJ Decision Final 





1 


1 


2 


Total Cases 


1 


3 


5 


9 


ALJ Decision Reviewed 


1 


k 


5 


10 


Total Hours 


28 


54 


169 


251 



EFFECT OF AGENCY REVIEW 

Affirm/Modify 
Reverse 
Declaratory Order 



1 


3 


4 


8 








1 


1 





1 





1 



CASES PENDING AT YEAR END 

Up to 24 months old 3 4 

24 to 30 months old 

Over 30 months old 2 2 



ELAPSED TIME DATA 





fi 


Cose Av« 
Breakdown FY 


jToge Elapsed Time 


N 


Stage of Cos 


(Days) 


(coses) 


Prehearing 


Origination / 
Referral to Office 
of Hearings 


All 
Coses 


76 

77 

78 

76-78 


79 

103 

94 

96 


1 

5 

7 

13 




Office of Hearings 
/ Referral to ALJ 


All 
Cases 


76 

77 

78 

76-78 


111 

88 

213 

172 


1 

4 

7 

12 


He<aring 


Referral to ALJ / 
ALJ order or 
decision 


With ALJ 
Decision 


76 

77 

78 

76-78 


255 
151 
177 
175 


1 

4 

6 

11 






Dismissal/ 76 

Withdrawal 77 

78 

76-78 











Posf hearing 


ALJ order or 
decision / Final 
Commission action 


With 76 

Commission 77 

Review 78 

76-78 


368 
192 
620 

449 


1 

3 
5 
9 






All 
Other 

Coses 


76 

77 

78 

76-78 


27 
36 
32 




1 
1 



Taial Time 


Origination / Final 
Commission action 


With 76 

Commission 77 

Review 78 

76-78 


924 
565 
1116 
911 


1 

3 
5 
9 






All 

Other 

Cases 


76 

77 

78 

76-78 


46*2 
930 
69S 



2 
2 

4 



Procedures — 

All applications for water carrier operating rights are 
published in the Federal Register. After a 30 day period for 
filing protests has expired, the applications will be designated 
either for oral hearing or modified procedure. Only those 
cases deemed complex are assigned to the oral hearing 
docket, to be heard by ALJs. Some coses are first assigned to 



the modified procedure docket, but are later referred for oral 
hearing if the employee review board feels such treatment is 
warranted. 

Only those cases assigned or transferred to ALJs for 
hearing are reported above. 



214 



Agency: INTERSTATE COMMERCE COMMISSION 

Case type: Operating Authority Complaints 
Motor Carrier 



Cases Terminated— 






FY: 76 77 


78 


76-78 


Number: 5 53 


50 


108 



MANNER OF TERMINATION 



76 



Number of coses 
77 78 76-78 



Dismissal/Withdrawal 


2 


23 


20 


45 


HEARINGS 


ALJ Decision Final 


2 


17 


13 


32 


Total Cases 


ALJ Decision Reviewed 


1 


13 


17 


31 


Total Hours 



76 



77 



78 



18 2! 
371 244 



76-78 

40 
617 



EFFECT OF AGENCY REVIEW 

Affirm/Modify 
Reverse 
Declaratory Order 



CASES PENDING AT YEAR END 






1 


4 


5 


Up to 24 months old 


65 


57 


37 


1 


10 


9 


20 


24 to 30 months old 


8 


4 


3 





2 


4 


6 


Over 30 months old 


6 


13 


15 



ELAPSED TIME DATA 





>e 

Origination / 


Case Avei 
Breakdown FY 


•age Elapsed Time 


N 


Stage of Cos 


(Days) 

64 


(cases) 


Prehearing 


All 76 


5 




Referral to Office 


Coses 77 


36 


51 




of Hearings 


78 


36 


48 






76-78 


37 


104 




Office of Hearings 


All 76 


201 


4 




/ Referral to ALJ 


Coses 77 


198 


46 






78 


176 


39 






76-78 


188 


89 


hleoring 


Referral to ALJ / 


With ALJ 76 


142 


3 




ALJ order or 


Decision 77 


242 


28 




decision 


78 


195 


29 






76-78 


214 


60 






Dismissal/ 76 












Withdrawal 77 


152 


3 






78 


216 


9 






76-78 


200 


12 


Post hearing 


ALJ order or 


With 76 


809 


1 




decision / Final 


Commission 77 


420 


13 




Commission action 


Review 78 


307 


16 






76-78 


372 


30 






All 76 


58 


2 






Other 77 


96 


18 






Coses 78 


152 


22 






76-78 


124 


42 


Total Time 


Origination / Final 


With 76 


1268 


1 




Commission action 


Commission 77 


824 


13 






Review 78 


708 


16 






76-78 


777 


30 






All 76 


353 


4 






Other 77 


498 


38 






Coses 78 


511 


32 






76-78 


496 


74 



Procedures— 

These proceedings ore instituted by the-filinq of a formal 
complaint against the license holder. The complaint is served 
upon the respondent or respondents by the Commission. The 
answer normally must be filed within 20 daySj but there may 
be supplemental complaints by the complainant or cross- 
complaints filed by the respondent. 



Note: Data for some FY 1 976 cases are unavailable. 



215 



Agencys INTERSTATE COMMERCE COMMISSION 

Cose types Operating Authority Complaints 
Freight Forwarder 



Coses Terminated — 

FY; 76 77 

Number: I 



78 76-78 
I 2 



Number of coses 
76 77 78 76-78 



MANNER OF TERMINATION 



76 



77 



78 76-78 



Dismissal/Withdrawal 





1 


1 


2 


HEARINGS 










ALJ Decision Final 














Total Cases 














ALJ Decisicn Reviewed 














Total Hours 















EFFECT OF AGENCY REVIEW 



CASES PENDING AT YEAR END 



Affirm/Modify 














Up to 24 months old 


1 


3 


2 


Reverse 














24 to 30 months old 











Declaratory Order 














Over 30 months old 












ELAPSED TIi«E DATA 





e 

Origination / 


Cose Av« 
Breakdown FY 


;rage Elapsed Time 


N 


Stage of Cos 


(Days) 


(cases) 


Prehearing 


All 76 







Referral to Office 


Coses 77 





1 




of Hearings 


78 


12 


1 






76-78 


6 


2 




Office of Hearings 


All 76 










/ Referral to ALJ 


Cases 77 


__ 









78 












76-78 


~ 





Hearing 


Referral to ALJ / 


With ALJ 76 


__ 







ALJ order or 


Decision 77 










decision 


78 












76-78 


~ 









Dismissal/ 76 












Withdrawal 77 












78 












76-78 


- 





Posthsaring 


ALJ order or 


With 76 










decision / Final 


Commission 77 


— 







Commission action 


Review 78 












76-78 


- 









All 76 


_. 









Other 77 


_ 









Coses 78 


— 









76-78 


~ 





Toltal Time 


Origination / Final 


With 76 










Commission action 


Commission 77 












Review 78 












76-78 


~ 









All 76 












Other 77 


_ 









Coses 78 












76-78 


— 






Procedures — 

These proceedings are instituted by the filing of a formal 
complaint against the license holder. The complaint is served 
upon the respondent or respondents by the Commission. The 
answer normally must be filed within 20 days, but there may 
be supplemental complaints by the complainant or cross- 
complaints filed by the respondent. 



216 



Agency: INTERSTATE COMMERCE COMMISSION 

Case type: Operating Authority Complaints 
Water Carrier 



Coses Terminated— 

FY: 76 

Number: I 



77 



78 

3 



76-78 

5 



MANNER OF TERMINATION 

Dismissal/Withdrawal 
ALJ Decision Final 
ALJ Decision Reviewed 



76 



Number of cases 
77 78 76-78 



1 


i 


2 


4 


HEARINGS 












1 




1 


Total Cases 
Total Hours 



76 



77 






78 76-78 

I 

8 



EFFECT OF AGENCY REVIEW 

Affirm/Modify 
Reverse 
Declaratory Order 









1 





















CASES PENDING AT YEAR END 

Up to 24 months old 3 

24 to 30 months old 3 

Over 30 months old 



ELAPSED TIME DATA 





>e 

Origination / 


Cose Ave 
Breakdown FY 


rage Elapsed Time 


N 


Stage of Cos 


(Days) 

IB 


(coses) 


Prehearing 


All 76 


1 




Referral to Office 


Cases 77 


12 


I 




of Hearings 


78 


264 


3 






76-78 


164 


5 




Office of Hearings 


All 76 


240 


1 




/ Referral to ALJ 


Cases 77 


395 


1 






78 


274 


2 






76-78 


296 


4 


Hearing 


Referral to ALJ / 


With ALJ 76 


„ 







ALJ order or 


Decision 77 


„ 







decision 


78 
76-78 

Dismissal/ 76 

Withdrawal 77 

78 


334 
334 

55 

97 

371 


1 
1 

1 
1 
1 






76-78 


174 


3 


Post hearing 


ALJ order or 


With 76 


„ 







decision / Final 


Commission 77 


— 







Commission action 


Review 78 
76-78 

All 76 
Other 77 
Coses 78 


298 
298 

170 
337 
319 


1 
1 

1 
1 

1 






76-78 


275 


3 


Total Time 


Origination / Final 


With 76 










Commission action 


Commission 77 

Review 78 

76-78 

All 76 
Other 77 


894 
894 

483 
839 



1 

1 

1 
1 






Coses 78 


997 


2 






76-78 


580 


4 



Procedures — 

These proceedings are instituted by the filing of a formal 
complaint against tne license holder. The complaint is served 
upon the respondent or respondents by the Commission. The 
answer normally must be filed within 20 days, but there may 
be supplemental complaints by the complainant or cross- 
complaints filed by the respondent. 



217 



Agencys INTERSTATE COMMERCE COMMISSION 

Case typef Investigation of Existing Rates (etc.) 

Water Carrier, Rail Carrier and Freight Forwarder 



Cases Terminated— 






FY; 76 77 


78 


76-78 


Numbers 61 195 


147 


403 



MANNER OF TERMINATION 



76 



Number of coses 
77 78 76-78 



Dismissal/Withdrawal 


7 


62 


99 


168 


HEARINGS 


ALJ Decision Final 


13 


35 


22 


70 


Total Cases 


ALJ Decision Reviewed 


41 


98 


26 


165 


Total Hours 



76 77 



78 76-78 



3 20 II 34 

55 378 195 628 



EFFECT OF AGENCY REVIEW 

Affirm/Modify 
Reverse 
Declaratory Order 



CASES PENDING AT YEAR END 



18 


55 


12 


85 


Up to 24 months old 


44 


32 


17 


23 


42 


9 


74 


24 to 30 months old 


8 


3 


9 





2 


5 


7 


Over 30 months old 


45 


17 


3 



ELAPSED TIME DATA 







Case Ave 


rage Elapsed Time 


N 


Stage of Cos 


e 

Origination / 


Breakdown FY 


(Days) 

55 


(cases) 


Prehearing 


All 76 


60 




Referral to Office 


Cases 77 


49 


185 




of Hearings 


78 


46 


147 






76-78 


49 


392 




Office of Hearings 


All 76 


67 


54 




/ Referral to ALJ 


Coses 77 


91 


129 






78 


100 


55 






76-78 


88 


238 


Hearing 


Referral to ALJ / 


With ALJ 76 


220 


53 




ALJ order or 


Decision 77 


237 


123 




decision 


78 


224 


48 






76-78 


230 


224 






Dismissal/ 76 












Withdrawal 77 


438 


1 






78 


298 


1 






76-78 


368 


2 


Post hearing 


ALJ order or 


With 76 


486 


40 




decision / Final 


Commission 77 


319 


88 




Commission action 


Review 78 


249 


26 






76-78 


351 


154 






All 76 


49 


13 






Other 77 


57 


36 






Cases 78 


39 


23 






76-78 


50 


72 


Total Time 


Origination / Final 


With 76 


851 


40 




Commission action 


Commission 77 


717 


88 






Review 78 


708 


26 






76-78 


750 


154 






All 76 


318 


20 






Other 77 


526 


97 






Cases 78 


324 


121 






76-78 


406 


238 



Procedures — 

Most of these cases are initiated by a complaint by a 
shipper about a carrier's rate or change in services. Some 
investigations are initiated by the Commission's own motion 
or are triggered by a protest filed when the carrier seeks to 
change the existing rate. The Commission forwards the 
complaint or investigative order to the Office of Proceedings, 
which, along with the Chief ALJ, determines whether tne 
case will require an oral (ALJ) hearing, or whether it can 



be handled without oral hearing (modified procedure) in which 
case it may or may not be assigned to an ALJ. 

Notes Only ALJ cases were supposed to be reported in these 
figures, but it seems likely that some non-ALJ cases were 
erroneously reported. 



218 



Agency: INTERSTATE COMMERCE COMMISSION 

Case lype: Investigation of Existing Rates (etc.) 
Motor Carrier 



Coses Terminated— 






FY: 76 77 


78 


76-78 


Number: 21 61 


68 


150 



76 



Number of cases 
77 78 76-78 



MANNER OF TERMINATION 



76 



77 



78 76-78 



Dismissal/Witlxirawal 


7 


21 


13 


41 


HEARINGS 










ALJ Decision Final 


4 


13 


24 


41 


Total Coses 





5 


3 


8 


ALJ Decision Reviewed 


10 


27 


31 


68 


Total Hours 





168 


76 


244 



EFFECT OF AGENCY REVIEW 



CASES PENDING AT YEAR END 



Affirm/Modify 


5 


15 


9 


29 


Up to 24 months old 


3 


5 


3 


Reverse 


5 


12 


17 


34 


24 to 30 months old 


1 








Declaratory Order 








5 


5 


Over 30 months old 


7 


1 


1 



ELAPSED TIME DATA 





Origination / 


Cose 
Breakdowi 


Ave 
1 FY 

76 


rage Elapsed Time 


N 


Stage of Cos 


(Days) 

43 


(cases) 


Prehetring 


All 


20 




Referral to Office 


Cases 


77 


36 


57 




of Hearings 




78 


18 


67 








76-78 


29 


144 




Office of Hearings 


All 


76 





13 




/ Referral to ALJ 


Cases 


77 


21 


36 








78 


6 


56 








76-78 


10 


105 


Hearing 


Referral to ALJ / 


With ALJ 


76 


273 


13 




ALJ order or 


Decision 


77 


265 


36 




decision 




78 


182 


55 








76-78 


222 


104 






Dismissal/ 


76 


■ 









Withdrawal 77 














78 














76-78 


- 





Posthearing 


ALJ order or 


With 


76 


310 


9 




decision / Final 


Commission 77 


359 


23 




Commission action 


Review 


78 


210 


31 








76-78 


279 


63 






All 


76 


91 


4 






Other 


77 


55 


13 






Cases 


78 


36 


24 








76-78 


47 


41 


Total Time 


Origination / Final 


With 


76 


657 


9 




Commission action 


Commission 77 


653 


23 






Review 


78 


456 


31 








76-78 


557 


63 






All 


76 


186 


II 






Other 


77 


243 


34 






Cases 


78 


177 


36 








76-78 


209 


80 



Procedures- 
Most of these cases are initiated by a complaint by a 
shipper about a carrier's rate or change in services. Some 
investigations are initiated by the Commission's own motion 
or are triggered by a protest filed when the carrier seeks to 
change the existing rate. The Comrhission forwards the 
complaint or investigative order to the Office of Proceedings, 
which, along with the Chief ALJ, determines whether tne 
case will require an oral (ALJ) hearing, or whether it can be 



handled without oral hearing (modified procedure) in which 
case it may or may not be assigned to an ALJ. 

Note: Only ALJ cases were supposed to be reported in these 
figures, but it seems likely that some non-ALJ cases were 
erroneously reported. 



219 



Agency; INTERSTATE COMMERCE COMMISSION 

Case typet Investigation and Suspension of Proposed Rotes (etc.) 
Water Carrier, Rail Carrier and Freight Forwarder 



Cases Terminated — 

FY: 76 77 

Numbers 35 27 



78 76-78 

30 92 



MANNER OF TERMINATION 

Dismissal/Withdrawal 
ALJ [JecDsion Final 
ALJ Decision Reviewed 



76 



Number of cases 
77 78 76-78 













76 


77 


78 


76-78 


34 


27 


29 


90 


HEARINGS 






















Total Cases 








2 


2 


1 








1 


Total Hours 








116 


116 



EFFECT OF AGENCY REVIEW 

Attirm/Modify 
Reveirse 
Declaratory Order 






















CASES PENDING AT YEAR END 



Up to 24 months old 


4 


7 


1 


24 to 30 months old 











Over 30 months old 


1 









ELAPSED TIME DATA 





e 

Origination / 
Referral to Office 
of Hearings 


Cose Avt 

Breakdown FY 


sroge Elapsed Time 


N 


Stage of Cos 


(Days) 

24 

103 

12 

44 


(coses) 


Prehearing 


All 76 

Cases 77 

78 

76-78 


33 
27 
29 
89 




Office of Hearings 
/ Referral to ALJ 


All 76 

Cases 77 

78 

76-78 


195 
67 
88 

113 


3 
2 

6 

II 


Hearing 


Referral to ALJ / 
ALJ order or 
decision 


With ALJ 76 

Decision 77 

78 

76-78 


100 
100 


1 




1 






Dismissal/ 76 

Withdrawal 77 

78 

76-78 


152 

152 





1 
1 


Post hearing 


ALJ order or 
decision / Final 
Commission action 


With 76 

Commission 77 

Review 78 

76-78 


866 
866 


1 




1 






All 76 

Other 77 

Coses 78 

76-78 


459 
459 





1 
I 


Total Time 


Origination / Final 
Commission action 


With 76 

Commission 77 

Review 78 

76-78 


1204 
1204 


1 




1 






All 76 

Other 77 

Cases 78 

7&-78 


64 
319 
173 

178 


32 
27 
29 

88 



Procedures— 

These investigatory proceedings are similar to 
investigations of existing rates. However, in these cases the 
proposed rates, by statute, can only be suspended for seven 
months; otherwise they become effective. 

These proceedings ore supposed to be reported if they ore 
assigned to an ALJ, and in this category of cases, ALJs will 
generally be assigned only those relatively few cases that are 
to be heard orally. (The large number of proposed rates 
proceedings are handled according to modified procedure by 



employee review boards.) 

In the above reported cases the ALJ does not write on 
initial decision, to be served on the parties; instead the ALJ 
writes a recommended decision for the Commission, but in 
practice the ALJ's duty is the same as In other cases, 

iStotes Only ALJ coses were supposed to be reported in these 
figures, but it seems likely that some non-ALJ cases were 
erroneously reported. 



220 



Agency: INTERSTATE COMMERCE COMMISSION 

Cose type: Investigation and Suspension of Proposed Rates (etc.) 
Motor Carrier 



Cases Terminated — 

FY: 76 77 

Number: 361 427 



78 76-78 

273 1061 



76 



Number of cases 
77 78 76-78 



MANNER OF TERMINATION 



76 



77 



78 



76-78 



Dismissal/Withdrawal 


361 


421 


270 


1052 . 


ncMrMiNVjO 










ALJ Decision Final 





2 


1 


3 


Total Cases 





1 


2 


3 


ALJ Decision Reviewed 





4 


2 


6 


Total Hours 





10 


27 


37 



EFFECT OF AGENCY REVIEW 



CASES PENDING AT YEAR END 



Affirm/Modify 





2 





2 


Up to 24 months old 


13 


6 


1 


Reverse 





2 


2 


4 


24 to 30 months old 











Declaratory Order 














Over 30 months old 


4 


2 


2 



ELAPSED TIME DATA 





>e 

Origination / 


Case Avei 
Breakdown FY 


rage Elapsed Time 


N 


Stage of Cos 


(Days) 

12 


(cases) 


Prehearing 


All 76 


360 




Referral to Office 


Cases 77 


3 


425 




of Hearings 


78 


3 


270 






76-78 


6 


1055 




Office of Hearings 


All 76 


40 


8 




/ Referral to ALJ 


Cases 77 


36 


II 






78 


33 


6 






76-78 


37 


25 


Hearing 


Referral to ALJ / 


With ALJ 76 










ALJ order or 


Decision 77 


320 


4 




decision 


78 


423 


3 






76-78 


364 


7 






Dismissal/ 76 












Withdrawal 77 












78 












76-78 


- 





Postheoring 


ALJ order or 


With 76 










decision / Final 


Commission 77 


255 


2 




Commission action 


Review 78 


222 


2 






76-78 


239 


4 






All 76 


„ 









Other 77 


52 


2 






Cases 78 


36 


1 






76-78 


47 


3 


Total Time 


Origination / Final 


With 76 


„ 







Commission action 


Commission 77 


465 


2 






Review 78 


803 


2 






76-78 


634 


4 






All 76 


52 


360 






Other 77 


48 


423 






Cases 78 


50 


268 






76-78 


50 


1051 



Procedures — 

These Investigatory proceedings are similar to 
investigations of existing rates. However, in these cases the 
proposed rates, by statute, can only be suspended for seven 
months; otherwise they become effective. 

These proceedings are supposed to be reported if they are 
assigned to an ALJ, and in this category of cases, ALJs will 
generally be assigned only those relatively few cases that are 
to be heard orally. (The large number of proposed rates 
proceedings are handled according to modified procedure by 



employee review boards.) 

In the above reported cases the ALJ does not write an 
initial decision, to be served on the parties; instead the ALJ 
writes a recommended decision for the Commission, but in 
practice the ALJ's duty is the same as in other cases. 

Note: Some non-AI I cases may hove been erroneously 

reported in these figures. 



221 



Ageirecy! INTERSTATE COMMERCE COMMISSION 

Cose type; Finance Docket 

Water Carrier, Rail Carrier and Freight Forwarder 



Coses Terminated— 






FY: 76 77 


78 


76-78 


Numbers 51 54 


37 


142 



MANNER OF TERMINATION 



76 



Number of cases 
77 78 76-78 



Dismissal/Withdrawal 


41 


43 


22 


106 


HEARINGS 


ALJ Decision Final 


3 


8 


4 


15 


Total Cases 


ALJ Decision Reviewed 


7 


3 


II 


21 


Total Hours 



76 77 78 76-78 

13 5 9 

7 55 107 169 



EFFECT OF AGENCY REVIEW 

Affirm/Modify 
Reverse 
Declaratory Order 



CASES PENDING AT YEAR END 



6 


9 


16 


Up to 24 months old 


13 


16 


28 


1 


1 


3 


24 to 30 months old 


3 


3 








1 


2 


Over 30 months old 


6 


8 


10 



ELAPSED TIME DATA 



Stage of Cos 


e 
Origination / 


Breakdown FY 


(Days) 


Prehearing 


AlO 76 


207 




Referral to Office 


Cases 77 


407 




of Hearings 


78 


100 






76-78 


254 




Office of Hearings 


All 76 


143 




/ Referral to ALJ 


Cases 77 


185 






78 


140 






76-78 


155 


Hearing 


Referral to ALJ / 


With ALJ 76 


216 




ALJ order or 


Decision 77 


100 




decision 


78 


229 






76-78 


191 






Dismissal/ 76 


264 






Withdrawal 77 


152 






78 









76-78 


227 


Postheoring 


ALJ order or 


With 76 


702 




decision / Final 


Commission 77 


82 




Commission action 


Review 78 


252 






76-78 


409 






All 76 


464 






Other 77 


51 






Coses 78 


33 






76-78 


162 


Tolfal Time 


Origination / Final 


With 76 


2019 




Commission action 


Commission 77 


307 






Review 78 


851 






76-78 


1253 






All 76 


887 






Other 77 


725 






Coses 78 


195 






76-78 


663 



N 
(cases) 



47 

52 

37 

136 

13 
13 
15 
41 

10 
9 
15 

34 



19 

5 
9 
4 



II 
19 

40 

51 

26 

117 



Procedures — 

These cases are not assigned to ALJs unless they are to be 
heard orally. They involve many different types of financial 
transactions which require Commission approval. They do not 
include abandonment cases which are now in a separate 
category. 



222 



Agency: INTERSTATE COMMERCE COMMISSION 

Cose types Finance Docket 
Motor Carrier 



Cases Terminated— 








FY: 76 


77 


78 


76-78 


Numbers 68 


114 


91 


273 



MANNER OF TERMINATION 



76 



Number of cases 
77 78 76-78 



Dismissal/Withdrawal 


16 


24 


21 


61 


HEARINGS 


ALJ Decision Final 


28 


35 


33 


9& 


Total Cases 


ALJ Decision Reviewed 


24 


55 


37 


116 


Total Hours 



76 



77 



78 76-78 



36 60 43 139 

762 1669 847 3278 



EFFECT OF AGENCY REVIEW 



AiFfirm/Modify 


15 


39 


21 


75 


Reverse 


6 


13 


7 


26 


Decloratoiry Order 


3 


3 


9 


15 



CASES PENDING AT YEAR END 

Up to 24 months old 88 103 99 

2* to 30 months old 14 14 12 

Over 30 months old 44 30 32 



ELAPSED TIME DATA 





Origination / 


Case Ave 
Breakdovsm FY 


roge Elopsed Time 


N 


Stage of Gas 


(Days) 

106 


(coses) 


Prehearing 


All 76 


68 




Referral to Office 


Coses 77 


143 


113 




of Hearings 


78 


137 


89 






76-78 


132 


270 




Office of Hearings 


All 76 


179 


55 




/ Referral to ALJ 


Cases 77 


198 


93 






78 


173 


75 






76-78 


IBS 


223 


Hearing 


Referral to ALJ / 


With ALJ 76 


178 


52 




ALJ order or 


Decision 77 


202 


89 




decision 


78 


196 


68 






76-78 


194 


209 






Dismissal/ 76 


240 


i 






Withdrawal 77 


164 


2 






78 


368 


4 






76-78 


291 


7 


Posthsoring 


ALJ order or 


With 76 


328 


24 




decision / Final 


Commission 77 


310 


54 




Commission action 


Review 78 


304 


35 






76-78 


312 


113 






All 76 


98 


29 






Other 77 


75 


37 






Cases 78 


210 


37 






76-78 


130 


103 


Total Time 


Origination / Final 


With 76 


815 


24 




Commission action 


Commission 77 


1018 


54 






Review 78 


939 


35 






76-78 


950 


113 






All 76 


435 


44 






Other 77 


366 


59 






Cases 78 


550 


54 






76-78 


449 


157 



Procedures — 

These cases are not assigned to ALJs unless they are to be 
heard orally. They involve many different types of financial 
transactions which require Commission approval. They do not 
include abandonment cases which are now in a separate 
category. 



223 



Agency-. INTERSTATE COMMERCE COMMISSION 

Case types Transfers of Operating Authority 
Motor Carrier 



Cases Terminated— 








FY: 76 


77 


78 


76-78 


Numberi 1 


2 


2 


5 



76 



MANNER OF TERMINATION 

Dismissal/Withdrawal 
ALJ Decision Final 
ALJ Decision Reviewed 



Number of cases 
77 78 76-78 



76 77 78 76-78 



1 





1 


2 


HEARINGS 














2 



1 



3 




Total Cases 
Total Hours 






2 

4 


1 
2 


3 
6 



EFFECT OF AGENCY REVIEW 

Affirm/Modify 
Reverse 

Declaratoiry Order 































CASES PENDING AT YEAR END 

Up to 2li months old 

24 to 30 months old 

Over 30 months old 



5 


2 








2 


1 


1 





2 



ELAPSED TIME DATA 





e 

Origination / 
Referral to Office 
of Hearings 


Cose Avei 
Breakdown FY 


'age Elapsed Time 


N 


Stage of Gas 


(Days) 

596 
681 
131 
A44 


(cases) 


Prehearing 


All 76 

Cases 77 

78 

76-78 


1 

2 
2 
5 




Office of Hearings 
/ Referral to ALJ 


All 76 

Cases 77 

78 

76-78 


67 
109 
453 
185 


1 

2 
1 
4 


Hearing 


Referral to ALJ / 
ALJ order or 
decision 


With ALJ 76 

Decision 77 

78 

76-78 


67 

3 

46 



2 
1 
3 






Dismissal/ 76 

Withdrawal 77 

78 

76-78 


~ 








Posthaoring 


ALJ order or 
decision / Final 
Commission action 


With 76 

Commission 77 

Review 78 

76-78 


- 












All 76 

Other 77 

Ctises 78 

76-78 


146 

27 

106 



2 
1 
3 


Total Time 


Origination / Final 
Commission action 


With 76 
Commission 77 

Review 78 
76-78 


- 












All 76 

Other 77 

Cases 78 

76-78 


742 

1000 

383 

627 


1 

1 

2 
4 



Procedures — 

These cases are handled by an applications process. Only 
difficult cases require a hearing. 



224 



Agency. INTERSTATE COMMERCE COMMISSION 

Case type: Rate Agreement Applications 
Motor Carrier 



Cases Terminated— 








FY: 76 


77 


78 


76-78 


Number: 2 


2 


3 


7 



76 



Number of coses 
77 78 76-78 



\NNER OF TERMINATION 










76 


77 


78 


76-78 


Dismissal/Withdrawal 


1 


2 1 


k 


HEARINGS 










ALJ Decision Final 





1 


1 


Total Cases 








] 


1 


ALJ Decision Reviewed 


1 


1 


2 


Total Hours 








12 


12 



EFFECT OF AGENCY REVIEW 



CASES PENDING AT YEAR END 



Affirm/Modify 


1 





1 


2 


Up to 24 months old 


1 


2 





Reverse 














24 to 30 months old 











Declaratory Order 














Over 30 months old 












ELAPSED TIME DATA 







Casa 


Av< 


srage Elapsed Time 


N 


Stage of Ca 


se 

Origination / 


Breakdow 


n FY 
76 


(Days) 

109 


(cases) 


Prehearing 


All 


2 




Referral to Office 


Cases 


77 


58 


2 




of Hearings 




78 


55 


3 








76-78 


71 


7 




Office of Hearings 


All 


76 





1 




/ Referral to ALJ 


Cases 


77 














78 


55 


2 








76-78 


37 


3 


Hearing 


Referral to ALJ / 


With ALJ 


76 


307 


1 




Al 1 order or 


Decision 


77 










decision 




78 


93 


2 








76-78 


164 


3 






Dismissaiy 


76 


„ 









Withdrawal 77 














78 














76-78 


- 





Postheoring 


ALJ order or 


With 


76 


304 


I 




decision / Final 


Commission 77 


■ 







Commission action 


Review 


78 


392 


1 








76-78 


348 


2 






All 


76 


„ 









Other 


77 












Coses 


78 
76-78 


36 
36 


1 
1 


Total Time 


Origination / Final 


With 


76 


739 


1 




Commission action 


Commission 77 












Review 


78 


572 


1 








7&-78 


656 


2 






All 


76 


1882 


1 






Other 


77 


353 


2 






Cases 


78 


377 


2 








76-78 


668 


5 



Procedures— 

These are specialized proceedings involving applications by 
motor carriers seeking approval of agreements relating to 
joint rates, fares, charges, etc. They ore also known as 
section 5(aJ applications. 



225 



Agencys INTERSTATE COMMERCE COMMISSION 

Cose type! Rate Agreement Applications 
Roil Carriers 



Coses Terminated— 








FY: 76 


77 


78 


76-78 


Number; 





3 


3 



76 



MANNER OF TERMINATION 



Number of coses 
77 78 76-78 



76 



77 



78 76-78 



Dismissal/Withdrawal 
























ALJ Decision Final 














Total Coses 














ALJ Decision Reviewed 








3 


3 


Total Hours 















EFFECT OF AGENCY REVIEW 



CASES PENDING AT YEAR END 



Affirm/Modify 








3 


3 


Up to 24 months old 


3 


3 





Reverse 














24 to 30 months old 











Declaratory Order 














Over 30 months old 








1 



ELAPSED TIME DATA 





e 

Origination / 
Referral to Office 
of Hearings 


Cose Av« 
Breakdown FY 


:rage Elapsed Time 


N 


Stage of Cos 


(Days) 

112 
112 


(coses) 


Prehsaring 


All 76 

Coses 77 

78 

76-78 




3 
3 




Office of Hearings 
/ Referral to ALJ 


All 76 

Coses 77 

78 

76-78 


219 
219 




3 
3 


Hearing 


Referral to ALJ / 
ALJ order or 
decision 


With ALJ 76 

Decision 77 

78 

76-78 


182 
182 




3 
3 






Dismissal/ 76 

Withdrawal 77 

78 

76-78 


- 








Post hearing 


ALJ order or 
decision / Final 
Commission action 


With 76 

Commission 77 

Review 78 

7^78 


258 
258 




3 
3 






All 76 

Other 77 

Coses 78 

76-78 


- 









Total Time 


Origination / Final 
Commission action 


With 76 

Commission 77 

Review 78 

76-78 


775 
775 




3 
3 






All 76 

Other 77 

Cases 78 

7t-78 


~ 









Procedures — 

These are specialized proceedings involving applications by 
railroads seeking approval of agreements relating to joint 
rates, fares, charges, etc. They are also known as section 
5(a) applications. 



226 



Agency: INTERSTATE COMMERCE COMMISSION 
Cose type: Through Shipment Applications 



Coses Terminated— 

FY'. 76 77 78 76-78 

Number: 115 7 



MANNER OF TERMINATION 

Dismissal/Withdrawal 
ALJ Decision Final 
ALJ Decision Reviewed 



76 

I 






Number of coses 
77 78 76-78 



HEARINGS 

Total Cases 
Total Hours 



76 77 78 76-78 



EFFECT OF AGENCY REVIEW 



CASES PENDING AT YEAR END 

I I 

I 



Affirm/Modify 
Reverse 
Declaratory Order 


1 









1 





Up to 24 months old 
24 to 30 months old 
Over 30 months old 


ELAPSED TIME DATA 
Stage of Case 


Cose 

Breakdowr 


1 fl 

76 

77 

78 

76-78 


Average Elapsed Tir 
(Days) 





21 

3 


rie N 

(cases) 


Prehearing Origination / 

Referral to Office 
of Hearings 


All 
Coses 


1 
1 

5 
7 


Office of Hearings 
/ Referral to ALJ 


All 
Coses 


76 

77 

78 

76-78 


489 

70 

280 



1 
1 
2 


Hearing Referral to ALJ / 
ALJ order or 
decision 


With ALJ 
Decision 


76 

77 

78 

76-78 


365 

64 

215 



1 
1 
2 




Dismissal/ 76 

Withdrawal 77 

78 

76-78 


- 








Postheoring ALJ order or 

decision / Final 
Commission action 


With 76 

Commission 77 

Review 78 

76-78 


918 

918 




1 



1 




All 

Other 

Coses 


76 

77 

78 

76-78 


36 
36 





1 

1 


Total Time Origination / Final 
Commission action 


With 76 

Commission 77 

Review 78 

76-78 


1803 
1803 




1 



1 




All 

Other 

Cases 


76 

77 

78 

76-78 


213 

487 
44! 


1 


5 
6 



Procedures — 

These proceedings are spin-offs from Investigation ond 
Suspension proceedings where a carrier applies for special 
permission to charge less for through shipments than the sum 
of charges to all Intermediate points. These are also known 
as Fourth Section Applications. 



227 



Agencys INTERSTATE COMMERCE COMMISSION 
Cose types Abandonments 



Cases Terminated— 








FYs 76 


77 


78 


76-78 


Number; 36 


56 


37 


129 



MANNER OF TERMINATION 



76 



Number of coses 
77 78 76-78 













HEARINGS 


Dismissal/Withdrawal 


12 


18 


II 


41 




ALJ Decision Final 


14 


13 


8 


35 


Total Cases 


ALJ Decision Reviewed 


10 


25 


18 


53 


Total Hours 



76 



77 

27 



78 
22 



113 471 339 



76-78 

58 
923 



EFFECT OF AGENCY REVIEW 



CASES PENDING AT YEAR END 



Affirm/ModiIFy 
Reverse 

Declaratory Order 


4 22 

5 2 
1 1 


15 41 Up to 24 months old 14 
7 24 to 30 months old 1 1 
3 5 Over 30 months old 13 


20 
9 
9 


29 

2 

II 


ELAPSED TIME DATA 
Stage of Case 


Cose 
Breakdown 


Averoge Elapsed Time N 
FY (DtjysJ (coses) 







Prehearing Origination / 

Referral to Office 
of Hearings 



Heoring 



Office of Hearings 
/ Referral to ALJ 



Referral to ALJ / 
ALJ order or 
decision 



All 
Coses 



All 
Cases 



I ALJ 
Decision 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Posff hearing 



ALJ order or 
decision / Final 
Commission action 



Total Time 



Origination / Final 
Commission action 



Dismissal/ 76 

Withdrawal 77 

78 

76-78 

With 76 

Commission 77 

Review 78 

76-78 

All 76 

Other 77 

Coses 78 

76-78 

With 76 

Commission 77 

Review 78 

76-78 

All 76 

Other 77 

Coses 78 

76-78 



374 
486 
450 
445 

222 

112 
106 
138 

278 
145 
118 

171 



286 

286 

289 
185 
164 
198 

61 
176 

49 
108 

1043 

1012 

903 

980 

863 
757 
899 
834 



Procedkires— 

These proceedings involve applications (primarily by 
railroads) to abandon or discontinue service. 



33 

54 

37 

124 

23 
40 
27 
90 

22 

38 
26 
86 


2 

2 

10 
23 
18 
51 

12 

15 

8 

35 

10 
23 
18 
51 

23 
31 
26 
80 



228 



Agency: INTERSTATE COMMERCE COMMISSION 

Case type: Ex Parte Proceedings 

Water Carrier, Rail Carrier and Freight Forwarder 



Cases Terminated— 








FY: 76 


77 


78 


76-78 


Number: 2 


2 


5 


9 



MANNER OF TERMINATION 

Dismissal/Withdrawal 
ALJ Decision Final 
ALJ Decision Reviewed 



76 



Number of coses 
77 78 76-78 



76 77 78 76-78 



1 


5 


7 


HEARINGS 








1 







2 


Total Cases 
Total Hours 











EFFECT OF AGENCY REVIEW 



CASES PENDING AT YEAR END 



Affirm/Modify 














Up to 24 months old 


2 


1 





Reverse 


1 


1 





2 


24 to 30 months old 


1 


2 





Declaratory Order 














Over 30 months old 





2 


2 



ELAPSED TIME DATA 
Stoge of Case 



Prehearing 


Origination / 
Referral to Office 
of Hearings 


All 
Cases 


76 

77 

78 

76-78 




Office of Hearings 
/ Referral to ALJ 


All 
Coses 


76 

77 

78 

76-78 


Hearing 


Referral to ALJ / 
ALJ order or 
decision 


With ALJ 
Decision 


76 

77 

78 

76-78 






Dismissal/ 76 

Withdrawal 77 

78 

76-78 


Posthearing 


ALJ order or 
decision / Final 
Commission action 


With 76 

Commission 77 

Review 78 

76-78 






All 

Other 

Cases 


76 

77 

78 

76-78 


Total Time 


Origination / Final 
Commission action 


With 76 

Commission 77 

Review 78 

76-78 






All 

Other 

Coses 


76 

77 

78 

76-78 



(^ose Average Elapsed Time 

Breakdown FY (Days) 



915 



225 

369 



155 

167 
163 

365 



365 



252 
252 

763 



763 



483 
483 

1353 
1921 

1637 

3411 
249 
623 
968 



N 
(cases) 

2 

I 
5 



Procedures— 

These proceedings are broad-based investigations or 
rulemaking proceedings undertaken by the Commission and 
assigned for hearing bv an ALJ. The Commission may or may 
not require an initial decision by the ALJ. 



229 



Agency; INTERSTATE COMMERCE COMMISSION 

Cose typei Ex Parte Proceedings 
Motor Carrier 



Cases Terminated— 

FYs 76 77 78 76-78 

Number: 5 5 



MANNER OF TERMINATION 



76 



Number of coses 
77 78 76-78 



76 



77 



78 76-78 



Dismissal/Withdrawal 








5 


5 


HEARINGS 










ALJ Decision Final 














Total Coses 














ALJ Decision Reviewed 














Total Hours 















EFFECT OF AGENCY REVIEW 



Affirm/Modify 














Reverse 














Decloratos-y Order 















CASES PENDING AT YEAR END 

Up to 24 months old I 

24 to 30 months old 

Over 30 months old 



ELAPSED TIME DATA 



Cojg Average Elapsed Time 



Stage of Case 


Breakdown FY 


(Days) 


Prehearing 


Origination / 
Referral to Office 
of Hearings 


Al! 76 

Coses 77 

78 

76-78 


73 
73 




Office of Hearings 
/ Referral to ALJ 


All 76 

Coses 77 

78 

76-78 


58 
58 


Hearing 


Referral to ALJ / 
ALJ order or 
decision 


With ALJ 76 

Decision 77 

78 

76-78 


~ 






Dismissal/ 76 

Withdrawal 77 

78 

76-78 


~ 


Postheoring 


ALJ order or 
decision / Final 
Commission action 


With 76 

Commission 77 

Review 78 

76-78 


;; 






All 76 

Other 77 

Cases 78 

76-78 


= 


Total Time 


Origination / Final 
Commission action 


With 76 

Commission 77 

Review 78 

76-78 


~ 






All 76 

Other 77 

Cases 78 

76-78 


423 



(cases) 































5 



Procedures — 

These proceedings are broad-based investigations or 
rulemaking proceedings undertaken by the Commission and 
assigned for hearing bv an ALJ. The Commission may or may 
not require on initial decision by the ALJ. 



230 



DEPARTMENT OF LABOR 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Case Type 



FY 



Coses 
Pending at 
Start of FY 



New Cases 

Referred to 

Office of ALJs 



Cases Cases 

Terminated Pending at 
by Agency End of FY 



Longshoremen's & Harbor Workers' Compensation Act 

Compensation Claims 

33 use 90! et seq., 36 DC Code SOI et seq. 
20 CFR 702 

Formal adjudications of controverted claims for 
compensation under the LHWCA and related acts, including the 
District of Columbia Workmen's Compensation Act. 



(75) 




717 


603 




76 
77 
78 


471 
1125 


1299 
1677 
1876 


1071 
1251 
1622 


699 
1125 
1379 



76-78 



4852 



3944 



Block Lung Benefits Reform Act * 
Benefit Claims 

30 use 901, 923, 925 
20 CFR 725 

Formal adjudications of controverted claims with respect to 
whether an individual is, or has ceased to be, under a total 
disability, or with respect to the amount of benefits to which 
the individual is entitled. (Claims filed prior to June 30, 1973, 
are handled by the Social Security Administration.) 



(75) 



76-78 



N/A 



2088 



N/A 



76 


N/A 


N/A 


N/A 


990 


77 


990 


1879 


988 


188! 


78 


1881 


209 


1051 


1039 



2039 



Executive Order 1 1491 
Federal Service Labor Disputes 

29 CFR 201-206 

Proceedings to administer the scheme of labor-management 
relations in the federal service. Hearings conducted by ALJs 
may occur in unfair labor practice proceedings, certain 
representation proceedings (most of these heard by non-ALJs), 
proceedings to enforce standards of conduct by unions vis-a-vis 
members, and proceedings to resolve factual disputes over the 
coverage of grievance or arbitration agreements. (Pursuant to 
the Civil Service Reform Act of 1978, Pub. L. No. 95-454, 92 
Stat nil (1978), this type of case has been handled by the 
Federal Labor Relations Authority since January I, 1979.) 



(75) 




180 


149 




76 


125 


255 


225 


155 


77 


155 


253 


220 


188 


78 


188 


251 


267 


172 



76-78 



759 



712 



Service Contracts Act 
Violations 

41 use 351 et seq. 
29 CFR 4.10, 6 

Proceedings to determine (I) whether, as charged in the 
complaint, the provision of the Act extending protection to 
service employees of federal contractors, or regulations or 
orders thereunder, have been violated in the performance of 
contracts covered by the Act; (2) the responsible parties; and 
(3) damages or sanctions, if any. 



(75) 




168 


83 




76 


142 


131 


203 


70 


77 


70 


178 


114 


134 


78 


134 


266 


156 


244 



76-78 



575 



473 



° Until 1979, Black Lung Benefits Act cases in DOL were heard by presiding officers who were not fully qualified ALJs. Reports 
on these cases were not filed with ACUS until 1977. 



231 



DEPARTWENT OF LABOR (continued) 



ANNUAL CASELOAD INVENTORY 

Fiscal Years I97S-I978 

(and FY 1975 from previous publication) 



Case Type 



Coses New Cases 

Pending at Referred to 
FY Start olF FY Office of ALJs 



Coses Coses 

Terminated Pending at 
by Agency End of FY 



Foir Laboir Standards Act 
Child Labor Civil Penalty Coses 
29 use 216 
29 CFR 580 

Challenges to civil money penalties imposed by the 
Secretary for violations of the child labor provisions of the 
Act. 

Unfortunately, these civil penalty cases were reported under 
the general Fair Labor Standards Act category, and were 
commingled with the less frequent rulemaking proceedings. 



C75) 

76 

77 

78 



76-78 



Estimated. 



55: 

45 



100 



Davis-Bocon Act 
Wage Rate Disputes 
40 use 276a et seq. 
29 CFR 1.10 

Most proceedings to fix wage rates to be paid to laborers 
and mechanics engaged in government contract work do not 
require a hearing. Sometimes, however, a hearing on the record 
is deemed necessary to resolve a factual dispute over the 
prevailing private industry wage rate for a particular class of 
workers. 



(75) 



76-78 



31 



76 


31 


20 


41 


10 


77 


10 


13 


8 


15 


78 


15 


37 


13 


39 



70 



62 



Office Of Federal Contracts Compliance 
Enforcement 
Executive Order 1 1246 
41 CFR 60-1.126, 60-30 

Proceedings to determine whether, as charged in the 
complaint, a government contractor or subcontractor has 
violated the regulations prohibiting discriminatory hiring, and, 
if so, the sanction to be imposed. 



(75) 



76 


4 


14 


11 


7 


77 


7 


17 


5 


19 


78 


19 


14 


II 


22 



76-78 



45 



27 



Form Labor Conlhracfor Registration Act 
Enforcement 
7 use 2049 
29 CFR 40.230 

Proceedings to impose sanctions for violations of the Act, 
including denial or revocation of registration, imposition of 
civil penalties, and denial of the use of authorized facilities 
and services. 



(75) 



76 





5 


4 


1 


77 


1 


II 


7 


5 


78 


5 


25 


19 


II 



7^78 



41 



30 



232 



DEPARTMENT OF LABOR (continued) 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Case Type 



Cases New Coses 

Pending at Referred to 
FY Start of FY Off ice of ALJs 



Cases Cases 

Terminated Pending at 
by Agency End of FY 



Comprehensive Employment And Training Act 

Grants Disputes 

29USC8I8, 846, 991 
29 CFR 98.40 

Proceedings to review disapproval of comprehensive 
manpower plan or application for financial assistance and 
proceedings to challenge initial determination of violation by 
grantee of provisions of his grant or of the Act. 



(75) 












76 





II 


7 


4 


77 


4 


10 


7 


7 


78 


7 


23 


II 


19 



76-78 



44 



25 



Public Contracts Act 
Enforcement 

41 use 35-45 
41 CFR 50-203 

Proceedings to determine (I) whether, as charged In the 
complaint, the provisions of the Act or the regulations 
thereunder have been violated In the performance of contracts 
covered by the Act; (2) the responsible parties; (3) liquidated 
damages, If any, owed to the U.S.; and (4) whether the 
responsible parties should be relieved from the ineligible list 
provision of the Act. 



(75) 




2 


4 




76 


1 


2 


3 





77 





2 


1 


1 


78 


1 


3 


1 


3 



76-78 



Trade Act Of 1974 
Certification 

1 9 use 227 1 
29 CFR 90 

Petitions filed by workers or their representatives for a 
certification of eligibility to apply for adjustment assistance 
compensating the workers for economic harm caused by the 
Importation of foreign goods. 



(75) 












76 





9 


9 





77 














78 





1 


1 






76-78 



10 



10 



Fair Labor Standards Act 
Rulemaking 

29 use 201, 209 
29 CFR 541 

Rulemaking proceedings in which hearings are held upon 
changes in the regulations defining executive, administrative, 
and professional employees exempt under section 14(a) of the 
Act (29 use 213(a)). 

Unfortunately, In 1977 and 1978, Child Labor civil penalty 
cases (under FLSA) were combined with these proceedings by 
the reporting agency. Figures for FY 1977 and FY 1978 are 
estimates. 



(75) 




4 


li 




76 





18 


7 


11 


77 


11 


N/A 


10* 


N/A 


78 


N/A 


N/A 


13* 


N/A 



76-78 



N/A 



Estimated. 



30' 



233 



DEPARTMENT OF LABOR (continued) 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976—1978 

(and FY 1975 from previous publication) 



Cose Type 



FY 



Cases New Cases Cases Cases 

Pending at Referred to Terminated Pending at 
Start of FY Office of ALJs by Agency End of FY 



Occupational Safety And Health Act 
Rulemaking 

29 use 655 
29CFR 1191 etseq. 

Rulemaking proceedings, presided over by ALJs, to hear 
testimony regarding proposed occupational safety and health 
standards. The ALJ certifies the record of the proceeding to 
the Assistant Secretary. 



(75) 




21 


24 




76 


6 


6 


4 


8 


77 


8 


21 


4 


25 


78 


25 


2 


5 


22 



76-78 



29 



13 



Federal Water Pollution Control Act 
Investigatory Hearings 

33 use 1 367 
29CFR 1. 10 

Investigatory hearings to review alleged discrimination 
against employees who have filed or participated in 
enforcement proceedings under the Act. 



(75) 




N/A 







76 
77 
78 


N/A 
N/A 
N/A 


N/A 
N/A 
N/A 


1 

2 



N/A 
N/A 
N/A 



76-78 



N/A 



Miscellaneous 



(75) 




2 


1 




76 


2 


3 


3 


2 


77 


2 


1 


3 





78 





12 


3 


9 



76-78 



234 



Agency: DEPARTMENT OF LABOR 

Case type: Longshoremen's and Harbor Workers' Compensation Act 
Compensation Claims 



Case-Closed Cards Submitted— ° 

FY: 76 77 78 76-78 

Number: 1100 1209 1069 3378 



MANNER OF TERMINATION (number of cases) 



Not on Merits — 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 



ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ (Decision w/o Hearing 



76 



77 



78 76-78 



479 


474 


412 


1365 


68 


97 


26 


191 





4 


3 


7 


38 


45 


47 


130 


480 


558 


548 


1586 














35 


3! 


33 


99 



AGENCY REVIEW (number of cases) 



Review- 
Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 77 

138 129 
962 1080 



89 
9 
6 

34 



86 
9 
2 

32 



78 76-78 



238 
831 



146 

14 

8 

70 



505 
2873 



32! 
32 
16 

136 



ELAPSED TIME DATA 



Case 



Elapsed Time (days) 



Distribution of Cases by Elapsed Time (coses) [s| 



Notes — 

"For FY 1978, DOL submitted case-closed cards for only 
the first three quarters. 



Stage of Case 


Breakdowi 


1 FY 
76 


Avg 

372.5 


Min 




Max 

4611 


0-lmo 


l-4mo 


4-l2mo 


l-2yr 

203 


2yr+ 

134 


(cases 


Prehearing District Office's 


All 


109 


244 


355 


1045 


response / Referral 


Cases 


77 


444.5 


3 


5823 


45 


231 


356 


300 


200 


1132 


to CALJ 




78 


510.7 





4187 


29 


148 


279 


262 


194 


912 






76-78 


439.7 





5823 


183 


623 


990 


765 


528 


3089 


Hearing Referral to CALJ / 


With ALJ 


76 


219.9 


40 


1086 





82 


356 


41 


1 


480 


ALJ's decision 


Hearing on 77 


177.2 


33 


662 





185 


346 


27 





558 




Merits 


78 


224.0 


44 


800 





107 


362 


76 


3 


548 






76-78 


206.3 


33 


1086 





374 


1064 


144 


4 


1586 




All 


76 


87.4 


1 


532 


60 


449 


105 


6 





620 




Other 


77 


92.3 


5 


806 


46 


495 


97 


12 


1 


651 




Cases 


78 


107.0 


8 


1123 


16 


374 


125 


3 


3 


521 






76-78 


94.9 


1 


1123 


122 


1318 


327 


21 


4 


1792 


Postheoring ALJ's decision / 


With 


76 


225.6 


82 


614 





11 


122 


5 





138 


Final agency 


Agency 


77 


310.3 


70 


730 





6 


82 


41 





129 


action 


Review 


78 


369.1 


56 


899 





6 


128 


100 


4 


238 






76-78 


314.8 


56 


899 





23 


332 


146 


4 


505 




All 


76 


6.9 





365 


910 


26 


26 








962 




OthCT 


77 


8.2 





450 


1000 


58 


21 


1 





1080 




Cases 


78 


16.3 





438 


732 


49 


48 


2 





83! 






76-78 


10.1 





450 


2642 


133 


95 


3 





2873 


Total Time District Office's 


With 


76 


824.4 


274 


3161 








5 


73 


47 


125 


response / Final 


Agency 


77 


888.1 


270 


3486 








9 


38 


70 


117 


agency action 


Review 


78 


1103.4 


337 


4018 








3 


57 


136 


196 






76-78 


966.2 


270 


4018 








17 


168 


253 


438 




All 


76 


513.1 


26 


4910 


7 


67 


372 


295 


179 


920 




Other 


77 


580.0 


48 


5982 





63 


336 


340 


276 


1015 




Cases 


78 


672.0 


43 


4370 





12 


221 


230 


253 


716 






76-78 


581.6 


26 


5982 


7 


142 


929 


865 


708 


2651 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or parTial hearing- 















FY: 


76 


77 78 


76-78 
















Number: 


647 742 664 


2053 










Time/Effort (days, pages, etc.) 


Distribution of Cases by Time/Effort Item 


N 




Utem 


FY 
76 


Avg 

\.2 


Min 




Max 


0-2 

642 


3-9 

12 


10-59 


60-199 200«lays, etc. 




(cases) 


Prehearing 


ALJ prehearing 


8 





654 


& Hearing 


and hearings 


77 


1.2 





11 


710 


13 


1 








724 


Time 


separaie 


78 


1.2 





II 


630 


17 


1 








648 




days per case 


76-78 


1.2 





11 


1982 


42 


2 








2026 




ALJ prehearing 


76 


3.4 





30 


309 


316 


18 








643 




and hearings 


77 


3.2 





40 


328 


325 


16 








669 




hours per cose 


78 


3.6 





41 


292 


321 


22 








635 






76-78 


3.4 





41 


929 


962 


56 








1947 




ALJ Travel: 


76 


5.2 





72 


157 


381 


73 


1 





612 




hours per cose 


77 


4.5 





48 


241 


356 


53 








650 






78 


4.6 





72 


213 


313 


36 


1 





563 






76-78 


4.8 





72 


611 


1050 


162 


2 





1825 


Parties 


Petitionsrsj respon- 


76 


2,7 





10 


267 


412 


1 








680 




dents, intervenors 


77 


2.8 





48 


308 


419 


2 








729 




(including agenicy)s 


78 


2.8 





14 


323 


327 


6 








656 




number pe\r case 


76-78 


2.8 





48 


898 


1158 


9 








2065 


Paperwork 


Evidentiary doci»- 


76 


11.0 





76 


119 


155 


226 


3 





503 




ments (excluding 


77 


12.9 





403 


89 


162 


236 


7 


1 


495 




brief s)s 


78 


16.8 





306 


42 


163 


241 


13 


1 


460 




number per case 


76-78 


13.5 





403 


250 


480 


703 


23 


2 


1458 




Transcripts! 


76 


91.8 





965 


14 


85 


172 


299 


63 


633 




pages per case 


77 


77.5 





941 


20 


138 


201 


307 


47 


713 






78 


101.6 





1058 


3 


67 


164 


330 


75 


639 






76-78 


89.8 





1058 


37 


290 


537 


936 


185 


1985 




Briefs: 


76 


20.4 





314 


74 


58 


315 


16 


1 


464 




pages per case 


77 


22.1 





630 


68 


53 


208 


II 


3 


343 






78 


20.7 





162 


62 


71 


225 


24 





382 






76-78 


2L0 





630 


204 


182 


748 


51 


4 


1189 




Exhibits: 


76 


61.3 





2923 


72 


88 


256 


108 


36 


560 




pages per case 


77 


52.3 





898 


63 


109 


261 


92 


36 


561 






78 


64.7 





2030 


51 


62 


261 


151 


30 


555 






76-78 


59.4 





2923 


186 


259 


778 


351 


102 


1676 




Contested 


76 


I.I 





27 


238 


17 


10 








265 




motions; 


77 


1.2 





19 


134 


14 


5 








153 




number per case 


78 


1.3 





37 


184 


21 


2 








207 






76-78 


1.2 





37 


556 


52 


17 








625 




Written opinions 


76 


8.3 





61 


43 


331 


174 


1 





549 




by ALJ: 


77 


6.0 





41 


52 


471 


85 








608 




poges per case 


78 


6.5 





35 


35 


463 


103 








601 






76-78 


6.9 





61 


130 


1265 


362 


1 





1758 



Procedures — 

The employer is required to file a report within 10 days 
after he learns of the injury or death of a covered employee. 
The cloimant is supposed to file notice of the injury or death 
with the district's deputy commissioner and with the 
employer within 30 days. Absent prejudice, failure to give 
the notice does not ordinarily bar the claim,however. 

Claims for compensation must normally be filed with the 
deputy commissioner within one year of the awareness of 
injury. Within 10 days after this filing, the deputy 
commissioner gives written notice to the employer. The 
employer then has 14 days to controvert the claim. If the 
claim is not controverted it becomes due and a penalty is 
added if payment is not made within 14 days. The claimant 
may choose to withdraw the claim. 

The adjudication process begins when a claim is 
controverted or the claimant contests an action by the 
employer. According to 20 CFR 702.301, the vast majority of 
such disputes result from misunderstandings or clerical 
errors, easily rectified by an informal conference. If the 
conference terminates the dispute, no case is recorded. If 



the parties fail to reach agreement during the conference, 
the deputy commissioner shall prepare a memo containing his 
recommendations to the parties who shall have 14 days to 
agree or disagree. If they disagree and a hearing is 
requested, the case is transferred to the CALJ's office. 

The ALJ has 20 days after the close of the hearing to 

Crepare a final decision and compensation order which snail 
ecome effective unless a notice of appeal is filed within 30 
days. After the notice is acknowledged by the Benefits 
Review Board, the appellant has an additional 30 days in 
which to file tne petition for appeal. (Benefits Review Board 
procedures are set forth in 20 CFR 802.) 

If the employer balks at payment, the applicant has to seek 
a supplementary compensation order and then seek federal 
district court enforcement under 33 USC 918. In the data 
presented here, however, the Board's decision is considered to 
be final agency action. 



236 



Agency: DEPARTMENT OF LABOR 

Case type: Black Lung Benefits Reform Act 
Benefit Claims 



Case-Closed Cards Submitted— ° 

FY: 76 77 78 76-78 

Number: ~ 1120 783 1903 



MANNER OF TERMINATION (number of cases) 
Not on Merits— 76 77 78 



Settlement 
Withdrawal 
Dismissal 
Other 

On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



N/A 21 2 23 

N/A 52 9 61 

N/A 48 14 62 

N/A 85 345 430 



N/A 


590 


260 


850 


N/A 


1 





1 


N/A 


323 


153 


476 



AGENCY REVIEW (number of coses) 

Review- 76 77 78 76-78 



N/A 83 58 
N/A 1037 725 



Yes: 
No: 

Result- 



Affirm N/A 37 35 

Reverse N/A 2 

Modify N/A I 

Remand/Other N/A 44 22 



141 
1762 



72 
2 
I 

66 



ELAPSED TIME DATA 



Stage of Case 



Prehearing 



Hetiring 



Postheoring 



Total Time 



Case 


n FY 
76 


blapsed 


lime 


(daysj 


Distribution of Ca 


ses by Ela 


psedTir 


ne (coses 


> N 


Breakdow 


Avg 


Min 


Max 


0-lmo 


l-4mo 


4-l2mo 


!-2yr 




2yr+ 




(cases) 


All 














Cases 


77 


9.2 





554 


344 


14 


1 


1 





360 




78 


6.3 





58 


193 


6 











199 




76-78 


8.2 





554 


537 


20 


1 


1 





559 


With ALJ 


76 





























Hearing on 77 


187.1 


24 


661 


1 


185 


363 


42 





591 


Merits 


78 


192.0 


41 


671 





47 


195 


17 





259 




76-78 


188.6 


24 


671 


1 


232 


558 


59 





850 


All 


76 


.^ 


— 























Other 


77 


242.6 


10 


840 


6 


158 


233 


130 


2 


529 


Cases 


78 


343.8 





1154 


4 


30 


340 


103 


46 


523 




76-78 


292.1 





1154 


10 


188 


573 


233 


48 


1052 


With 


76 





























Agency 


77 


284.1 





703 


1 


17 


35 


30 





83 


Review 


78 


400.9 


170 


870 








19 


37 


1 


57 




76-78 


331.7 





870 


1 


17 


54 


67 


1 


140 


All 


76 





„ 


„ 




















Other 


77 


5.2 





528 


1005 


II 


18 


3 





1037 


Cases 


78 


33.3 





874 


614 


. 28 


72 


9 


2 


725 




76-78 


16.8 





874 


1619 


39 


90 


12 


2 


1762 


With 


76 





__ 























Agency 


77 


480.8 


259 


1059 








5 


5 


1 


II 


Review 


78 


566.5 


313 


736 








2 


8 


1 


11 




76-78 


523.7 


259 


1059 








7 


13 


2 


22 


All 


76 




























Other 


77 


244.7 


23 


636 


2 


110 


150 


87 





349 


Cases 


78 


256.3 


49 


758 





22 


130 - 


34 


2 


188 




76-78 


248.7 


23 


758 


2 


132 


280 


121 


2 


537 



Notes — 

° In FY 1976, non-ALJ hearing officers presided over cases 
of this type, so data were not collected on them. This 
practice was overturned by a subsequent ruling. See 
discussion of this matter in Chapter 1 of this report (note 63). 

In FY 1978, DOL submitted case-closed cards for only the 
first three quarters. 



237 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



Time/Effort (days, pages, etc.) 
FY Avg Min Max 



Cases with full or partial hearing— 

FY: 76 77 78 76-78 

Number: 646 289 935 

Distribution of Coses by Time/Effort Item N 

0-2 3-9 10-59 60-199 200+days, etc. (coses) 



Prehearing ALJ prehearing 
& Hearing and hearing: 
Time separate 

days per case 

ALJ prehearing 
and hearing: 
hours per cose 



ALJ Travel: 
hours per case 



Parties 



Paperwork 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Petitioners, respon- 76 

dents, interveners 77 

(including agency): 78 

number per case 76-78 

Evidentiary docu- 76 

ments (excluding 77 

briefs): 78 

number per cose 76-78 



Transcripts: 
pages per cose 



Briefs: 

pages per cose 



Exhibits: 
pages per case 



Contested 
motions: 
number per case 



Written opinions 
by ALJ: 
pages per case 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



1.0 





4 


1.0 





2 


1.0 





4 


2.2 





24 


2.0 


2 


14 


2.1 





24 


7.6 





60 


6.1 





48 


7.2 





60 


2.8 





71 


2.7 


1 


9 


2.7 





7! 


14.2 





85 


14.5 





85 


14.3 





85 


59.3 


2 


738 


57.3 


3 


218 


58.7 


2 


738 


15.9 





324 


10.3 





77 


14.2 





324 


39.5 





580 


41.1 





332 


40.1 





580 


2.1 





15 


1.4 





8 


1.9 





15 


5.0 


1 


167 


4.5 





14 


4.8 





167 




631 
283 
914 


395 
207 
602 



76 

41 

117 


326 
139 
465 


17 

8 
25 


2 

2 


65 
31 
96 





190 

70 

260 


444 
216 
660 


307 
146 
453 



104 
44 
148 


43 
10 
53 


40 
20 

60 





17 54 

15 25 

32 79 



131 73 

56 IB 

187 91 



54 820 

28 382 

82 1 202 





107 

22 

129 


I 





348 
150 
498 


322 

159 
481 


88 
35 
123 


415 
183 
598 


3 

3 


38 
10 
48 




257 
112 
369 


5 
I 
6 


58 
43 
101 







2 

2 





























5 
3 
8 


2 

2 


13 

3 
16 















632 
283 

915 


586 
278 
867 


628 
279 
907 


635 
285 
920 


472 
203 
675 


629 
284 
913 



200 

87 

287 


557 
269 
826 



207 

74 

281 



914 

420 

1334 



Procedures— 

Any person having a belief of entitlement may file a claim 
for benefits. A claim filed by or on behalf of a miner must be 
filed within 3 years of a medical determination of disability 
or after the enactment of the Black Lung Benefits Reform 
Act of 1977, whichever is later. There is no time limit upon 
the filing of a claim by a survivor of a miner. 

Before any right to o hearing arises, the claim will be 
decided by the deputy commissioner. After completion of the 
proceedings before the deputy commissioner, any party may 
request a hearing on any contested issue of law or fact. The 
CAI I will designate an ALJ to preside over the hearing. 



The hearing will be confined to the identified contested 
issues and new issues that were not reasonably ascertainable 
by the parties at the time the claim was before the deputy 
commissioner. When such new issues are presented, the ALJ 
has discretion to hear the issues, remand to the deputy 
commissioner, or refuse to hear the issues. 

If the claim is not dismissed or otherwise resolved prior to 
completion of the hearing, the ALJ will issue an initial 
determination and order within 20 days. The determination 
will become final in 30 days unless an appeal to the Benefits 
Review Board or a petition for reconsideration by the ALJ is 
filed by that time. 



238 



Agency: DEPARTMENT OF LABOR 

Case type: Executive Order I 1 49 1 

Federal Service Labor Disputes 



Case-Closed Cards Submitted— ° 

FY: 76 77 78 76-78 

Number: 215 203 177 595 



MANNER OF TERMINATION (number of coses) 



Not on Merits — 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 



ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76 



77 



78 76-78 



50 


43 


37 


130 


6! 


5! 


39 


151 


1 





1 


2 


2 





3 


5 


99 


107 


96 


302 


2 


1 





3 





1 


1 


2 



AGENCY REVIEW {number of cases) 



Review — 

Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 

98 
117 



96 
2 






77 

106 
97 



103 
2 



78 76-78 



95 
82 



95 






299 
296 



294 
4 



ELAPSED TIME DATA 



Notes — 

° In FY 1 978, DOL submitted case-closed cards only for 
the first three quarters. 







Case 




Elaf)sed Time 


(days) 


Distribution of Cases by Elapsed Time (cases) 


N 


Stage of Coj 


ie 

Issuance of 


Breal<dow 


n FY 
76 


Avg 

135.4 


Min 

1 


Max 

725 


0-lmo 


l-4mo 


4-l2mo 


l-2yr 

6 


2yr+ 




(cases) 


Prehearing 


All 


9 


106 


93 


214 




complaint / 


Cases 


77 


138.4 





447 


6 


91 


103 


3 





203 




Referral to CALJ 




78 


138.7 





501 


5 


81 


83 


4 





173 








76-78 


137.4 





725 


20 


278 


279 


13 





590 


Hearing 


Referral to CALJ / 


With ALJ 


76 


239.4 


20 


567 


1 


15 


72 


13 





101 




ALJ's recom- 


Hearing on 77 


203.9 


27 


691 


1 


17 


84 


6 





108 




mended decision 


Merits 


78 


211.4 


72 


546 





12 


79 


5 





96 








76-78 


218.0 


20 


691 


2 


44 


235 


24 





305 






All 


76 


97.9 


1 


348 


9 


76 


29 








114 






Other 


77 


84.9 





362 


13 


65 


17 








95 






Coses 


78 


84.5 


II 


298 


5 


63 


13 








81 








76-78 


89.9 





362 


27 


204 


59 








290 


Post hearing 


ALJ's recom- 


With 


76 


126.9 


22 


444 


1 


51 


45 


1 





98 




mended decision / 


Agency 


77 


172.2 


24 


933 


1 


46 


55 


1 


3 


106 




Final agency 


Review 


78 


136.4 


65 


596 





47 


46 


2 





95 




action 




76-78 


146.0 


22 


933 


2 


144 


146 


4 


3 


299 






All 


76 











115 














115 






Other 


77 


9.4 





365 


93 


1 


3 








91 






Coses 


78 


2.4 





163 


80 


1 


1 








82 








76-78 


3.8 





365 


288 


2 


4 








294 


Total Time 


Issuance of 


With 


76 


500.6 


46 


1157 





1 


16 


72 


9 


98 




complaint / Final 


Agency 


77 


517.9 


222 


1544 








15 


85 


6 


106 




agency action 


Review 


78 


488.7 


224 


1169 








15 


73 


4 


92 








76-78 


503.1 


46 


1544 





1 


46 


230 


19 


296 






All 


76 


237.9 


62 


510 





10 


91 


13 





114 






Other 


77 


231.5 


14 


661 


1 


13 


71 


12 





97 






Cases 


78 


225.2 


72 


581 





7 


65 


9 





81 








76-78 


232.2 


14 


661 


1 


30 


227 


34 





292 



239 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing- 















FY: 


76 


77 


78 


76-78 
















Number: 


137 


36 


112 


385 










Time/Effort (days, pages, etc.) 


Distribution of Cases by 


Time/Effort Item 


N 




Item 


FY 

7fi 

77 

78 

76-78 


Avg 

1.4 
1.2 
1.3 
L3 


Min 

1 
1 

1 
1 


Max 


0-2 

125 
130 
103 
358 


3-9 

9 
3 

5 
17 


10-59 


60-199 200-Klays, etc. 







(coses) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearings 
separate 
days per case 


8 

5 
4 
8 , 








134 
133 
108 
375 




ALJ prehearing 
and hearing; 
hours per cose 


76 

77 

78 

76-78 


6.7 
5.7 
6.1 
6.2 


1 
1 





56 
24 
32 
56 


31 
27 
20 
78 


77 

82 

66 

225 


20 
16 
17 
53 
















128 
125 
103 
356 




ALJ Travel: 
hours per case 


76 

77 

78 

76-78 


8.1 
7.4 
6.6 
7.4 








32 
24 
24 
32 


20 

13 
15 
48 


62 

71 

56 

189 


41 
32 
19 
92 

















123 

116 

90 

329 


Parties 


PetitionerSj respon- 
dentSj intervenors 
(including agency); 
number per cose 


76 

77 

78 

76-78 


3.5 
3.5 
4.1 
3.7 


1 

2 

1 

1 


17 
14 
21 
21 


78 

81 

63 

222 


45 
47 
33 
125 


9 

4 

12 

25 
















132 
132 
108 
372 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs)s 
number per case 


76 

77 

78 

76-78 


17.0 
17.4 
25.6 
19.8 









127 
195 
266 

266 


14 
4 
2 

20 


17 
16 
12 

45 


52 
44 

47 
143 




3 

1 

6 
10 




1 
1 


86 

65 

68 

219 




Transcriptsi 
pages per cose 


76 

77 

78 

76-78 


156.5 
134.7 
175.6 
154.5 


2 
3 

4 
2 


1325 
586 
1190 
1325 


1 



1 


21 
16 
10 
47 


9 
14 
12 
35 




68 

73 

58 

199 


32 
26 
28 
86 


131 
129 
108 
368 




Briefs: 

poges per cose 


76 

77 

78 

76-78 


28.8 
32.2 
34.1 
31.6 









176 
208 
125 
208 


5 
2 
2 
9 


4 
5 

9 
18 


80 

81 

62 

223 




9 

9 

11 

29 




1 


1 


98 

98 

84 

280 




Exhibits: 
pages per case 


76 

77 

78 

76-78 


80.6 
76.5 
83.7 
80.1 




1 

4 



1000 
670 
762 

1000 


3 
4 

7 


19 

13 

6 

38 


54 

51 

53 

158 




34 
42 
34 

no 


11 
9 
9 

29 


121 
119 
102 
342 




Contested 
motions: 
number per case 


76 

77 

78 

76-78 


2.4 
2.1 
3.3 
2.5 








15 
12 
40 
40 


40 
26 
25 
91 


20 

14 

9 

43 


3 
1 

2 
6 
















63 

41 

36 

140 




Written opinions 
by ALJ: 
pages per cose 


76 

77 

78 

76-78 


9.9 
10.4 
10.8 
10.3 



2 
3 



41 
38 
45 
45 


3 
1 


4 


55 

52 

59 

166 


42 
54 
37 
133 

















100 

107 

96 

303 



Procedures — 

Most cases are similar to NLRB unfair labor practice 
coses. The prehearing stage is initiated by a complaint filed 
with the Assistant Secretary. A response by the respondent is 
due within 15 days. The Area Director conducts an 
investigation of the charges. Unless the parties stipulate that 
the Assistant Secretary may decide the cose without a 
hearing (not counted in these statistics), the case is sent to 
the Assistant Regional Director who may take one of several 
actions including Issuance of a notice of hearing. A case set 
for hearing is transferred to the CALJ's office and the ALJ is 
designated. Briefs may be filed within 7 days of the close of 
the hearing. The ALJ shall then "expeditiously" prepare his 
recommended decision and order, which will be forwarded to 
the Assistant Secretary for his review, whether or not 
exceptions are filed. 

In representation proceedings, most hearings, when 
necessary, are conducted by non-ALJ "hearing examiners". 
However^ in two circumstances, ALJ's preside: when hearings 
are required to resolve substantial factual issues raised by a 
petition for "determination of eligibility for national 



consultation rights", (29 CFR 202.3(e)), or when an agency 
head determines that the internal security of the agency is 
endangered (29 CFR 202.8(a)(2)). In these proceedings, the 
above procedures ore generally applicable as well, except 
that the ALJ may not recommend remedial action. 

Similarly, when employees file complaints against the 
union (29 CFR 204), resulting hearings are presided over by 
ALJ's. Similar procedures are used. 

29 CFR 205 provides for hearings to resolve factual 
questions arising when an application for a decision by the 
Assistant Secretary concerning a question of coverage of 
existing grievance or arbitration agreements. The same 
procedures are followed. 

Notes As of January 1979. this type of case has been 
transferred to the new Federal Labor Relations Authority. 



240 



Agency: DEPARTMENT OF LABOR 
Cose type: Service Contracts Act 



Case-Closed Cards Submitted— ° 

FY: 76 77 78 76-78 

Number: 65 40 40 145 



MANNER OF TERMINATION (number of coses) 

Not on Merits- 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 









2 


2 








3 


3 














1 





1 


2 


53 


23 


21 


97 














II 


17 


13 


41 



AGENCY REVIEW (number of cases) 



Review- 


76 


77 


78 


76-78 


Yes: 
No: 


13 
52 


9 
31 


6 
34 


28 
117 


Result- 










Affirm 
Reverse 
Modify 
Remand/Other 


11 


2 


5 


1 
3 


5 


1 


21 

1 
6 



ELAPSED TIME DATA 



Notes — 

° In FY 1 978, DOL submitted case-closed cards only for 
the first three quarters. 

Many of these case cards were for consolidated cases. 
DOL counted each docket as one case for inventory purposes. 







Case 




Elapsed Time 


(days) 


Distribution of Cases by Elapsed Time (cases) 


N 


Stage of Cos 


e 

Issuance of 


Breakdowi 


1 fX 
76 


Avg 

251.6 


Min 




Max 

988 


0-lmo 


l-4mo 


4-l2mo 


i.2yr 

20 


2yr+ 

3 


(cases) 


Prehearing 


All 


23 


4 


13 


63 




complaint / 


Cases 


77 


543.1 


156 


2666 








14 


15 


4 


33 




Referral to CALJ 




78 


656.8 





2844 


1 





8 


16 


II 


36 








76-78 


435.0 





2844 


24 


4 


35 


51 


18 


132 


Hearing 


Referral to CALJ / 


With ALJ 


76 


244.3 


50 


779 





6 


37 


9 


1 


53 




ALJ's decision 


Hearing on 77 


195.3 


89 


417 





5 


16 


2 





23 






Merits 


78 


208.0 


92 


385 





3 


17 


1 





21 








76-78 


224.9 


50 


779 





14 


70 


12 


1 


97 






All 


76 


141.6 


43 


301 





4 


8 








12 






Other 


77 


121.6 


22 


314 


2 


10 


5 








17 






Cases 


78 


191.2 


70 


1152 





9 


9 





1 


19 








76-78 


154.1 


22 


1152 


2 


23 


22 





1 


48 


Post hearing 


ALJ's decision / 


With 


76 


242.7 


121 


536 





1 


11 


1 





13 




Final agency 


Agency 


77 


258.9 


140 


409 








8 


1 





9 




action 


Review 


78 


199.3 


114 


312 





2 


4 








6 








76-78 


238.6 


114 


536 





3 


23 


2 





28 






All 


76 











52 














52 






Other 


77 











31 














31 






Cases 


78 


II. 1 





133 


31 


1 


2 








34 








76-78 


3.2 





133 


114 


1 


2 








117 


Total Time 


Issuance of 


With 


76 


611.2 


350 


1315 








1 


8 


4 


13 




complaint / Final 


Agency 


77 


939.5 


598 


1884 











3 


5 


8 




agency action 


Review 


78 


1355.3 


666 


3050 











1 


5 


6 








76-78 


873.8 


350 


3050 








1 


12 


14 


27 






All 


76 


504.9 


119 


1177 





1 


13 


29 


7 


50 






Other 


77 


726.2 


350 


2790 








1 


15 


9 


25 






Cases 


78 


823.0 


195 


2636 








3 


II 


16 


30 








76-78 


648.5 


119 


2790 





1 


17 


55 


32 


105 



241 



TliVlE AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing— 















FY 




76 


77 


78 


76-78 
















Number 




54 


23 


22 


99 






Item 


FY 

76 

77 

78 

76-78 


Time/Effort (days, |f 
Avg Min 

1.5 1 
1.4 1 

1.3 

1.4 


Kiges, etc.) 
Max 


Distribution c 
0-2 3-9 

44 7 
21 1 
21 4 
86 12 


)f Coses 
10-59 


by Time/Effort Item 
60-199 200«lays, etc. 







N 
(cases) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearing: 
separate 
days per case 


5 
3 

3 . 
5 








51 
22 
25 
98 




ALJ prehearing 
and hearing: 
hours per case 


76 

77 

78 

76-78 


6.5 
4.3 
6.2 
6.0 


1 
1 





36 
12 
28 
36 


20 

9 

13 

42 


23 
9 
6 

38 


9 

3 

5 

17 
















52 
21 
24 
97 




ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 


lO.I 
9.5 
7.2 
9.3 



2 




30 
24 
48 
48 


7 
1 

6 
14 


19 
IS 
14 
48 


25 

7 

5 

37 
















51 
23 
25 
99 


Parties 


Petitioners, respon- 
dents, interveners 
(including agency}: 
number per case 


76 

77 

78 

76-78 


3.7 
2.4 
3.1 
3.3 


1 

2 
1 

1 


22 
4 
9 

22 


29 
18 

17 
64 


27 

7 
10 
44 


4 


4 
















60 

25 

27 

112 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs): 
number per cose 


76 

77 

78 

76-78 


10.0 

9.7 

12.8 

10.6 








54 
28 
49 
54 


9 

4 

3 

16 


17 
8 
6 

31 


14 
9 
9 

32 

















40 
21 
18 
79 




Transcripts: 
pages per cose 


76 

77 

78 

76-78 


146.7 
110.2 
121.5 
132.1 


10 
3 




983 
459 
424 
983 




2 
2 



2 

1 
3 


26 
8 
9 

43 




13 
9 
6 

28 


13 
4 
6 

23 


52 
23 
24 
99 




Briefs; 

pages per cose 


76 

77 

78 

76-78 


20.2 
26.2 
16,9 

20.7 









83 
III 

50 
III 


8 

2 

3 

13 


4 

5 

5 

14 


29 
10 
II 
50 




3 

1 


4 








44 
18 
19 
81 




Exhibits: 
pages per case 


76 

77 

78 

76-78 


89.3 
145.3 
138.6 
113.7 


1 






1500 

1500 

612 

1500 


4 
2 
2 
8 _ 


13 
4 
2 

19 


19 
6 
6 

31 




8 

8 

7 

23 


7 

2 

5 

14 


51 
22 
22 
95 




Contested 
motions: 
number per case 


76 

77 

78 

76-78 


1.6 

1.9 

.6 

1.5 








10 
6 
3 

10 


23 
12 
10 
45 


6 

5 

1 

12 


1 




1 

















30 
17 
11 
58 




Written opinions 
by ALJ: 
pages per case 


76 

77 

78 

76-78 


9.7 
7.7 
6.7 
8.4 


1 

3 
2 

1 


26 
29 
20 
29 


1 


1 
2 


39 
30 
28 
97 


24 

10 

6 

40 

















64 

40 

35 

139 



Procedures — 

The proceeding is initiated by the issuance of a complaint 
by the Deputy Solicitor which is served on the respondent. 
The case is referred to an ALJ, but the hearing may be 
deferred to permit consent negotiations to take place. After 
all evidence has been received, the parties have 10 days to 
file proposed findings and conclusions along with a brief. 
After the initial decision, aggrieved parties nave 20 days to 
file exceptions thereto. Appeal is to the Administrator of the 
Wage and Hour Division (or his representative). 



242 

Agency: DEPARTMENT OF LABOR 

Case type: Federal Labor Standards Act 

Child Labor Civil Penalty Cases 



Case-Closed Cords Submitted— ° 

FYs 76 77 78 76-78 

Number: 56 29 85 



MANNER OF TERMINATION (number of cases) 

Not on Merits- 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



AGENCY REVIEW (number of cases) 






12 


2 


14 





4 


2 


6 




















1 


1 





15 


10 


25 

















25 


14 


39 



Review — 

Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 






77 


56 



78 76-78 




29 




85 



ELAPSED TIME DATA 





Case 
Breakdown FY 


hlopsed 


Time 


days) 


Distribution of Ca 


>es by tla 


psed Ti 


me (cases 


1 H 


Stage of Case 


Avg 


Min 


Max 


0-lmo 


l-4mo 


4-l2mo 


l-2yr 


2yr+ 


(cases) 


Prehearing Violation notice / 
Referral to CALJ 


All 
Cases 


76 

77 

78 

76-78 


169.9 
217.8 
186.2 


3 
3 
3 


404 
384 
404 



1 
1 
2 



14 

1 
15 



40 
26 
66 



1 
1 
2 









56 
29 
85 


Hearing Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


150.7 
242.4 
187.4 


72 
81 
72 


281 
315 
315 









6 

1 
7 




9 

9 

18 
















15 
10 
25 




All 

Other 

Coses 


76 

77 

78 

76-78 


100.4 
131.2 
110.2 


7 
46 

7 


232 
358 
358 



2 

2 



29 
11 
40 



10 

8 
18 
















41 
19 
60 


Postheoring Not applicable 


With 

Agency 

Review 


76 

77 

78 

76-78 


= 


;; 


;; 








































All 

Other, 

Coses" 


76 
77 
78 

76-78 


















56 
29 
85 



























56 
29 

85 


Total Time Violation notice / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


- 


- 


- 








































All 

Other 

Cases 


76 

77 

78 

76-78 


283.8 
387.3 
319.1 


157 
127 
127 


574 
614 
614 
















48 

9 

57 




8 

20 

28 










56 
29 
85 



Notes— 

° In FY 1978, DOL submitted case-closed cards only for 
the first three quarters. Additionally, some child labor civil 
penalty cases were not reported properly. As a result, the 
1978 cose closed cards submitted figure is lower than the 
actual number of cases closed for that year. 

There is no elapsed time in the postheoring stage because 
the ALJ's decision constitutes final agency action. 



243 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or parilal hearing — 

FY; 76 77 78 76-78 

Numbers 18 II 29 



Time/Effort (days, pages, etc) Distribution of Coses by Time/Effort Item 





Item 


FY 

76 

77 

78 

76-78 


Avg 

1.0 
1.0 
1.0 


Min 


1 



Max 


0-2 


20 
10 
30 


3-9 







10-59 


60-199 







200+days, etc. 







(cases) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearing; 

separate 
days per case 


1 
1 
1 









20 
10 
30 




ALJ prehearing 
and bearing; 
hours per case 


76 

77 

78 

76-78 


2.7 
4.3 
3.3 




1 



8 
9 
9 



12 

3 
15 




8 

7 

15 





















20 
10 
30 




ALJ Travel: 
hours per ctDse 


76 

77 

78 

76-78 


6.9 
6.5 
6.8 



4 



14 
8 
14 



1 


1 



14 
10 
24 



5 

5 















20 
10 
30 


Parties 


Petitioners, respon- 
dents, interveners 
(including agencyh 
number per cose 


76 

77 

78 

76-78 


2.8 
4.5 
3.3 


2 
2 
2 


10 
14 
14 



15 

5 
20 



4 
4 
8 



1 

1 
2 















20 
10 
30 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs); 
number per cose 


76 

77 

78 

76-78 


6.6 

13.7 
7.9 



6 



26 
26 
26 



3 

3 




9 

2 

II 



2 
1 
3 















14 

3 
17 




Transcripts; 
pages per case 


76 

77 

78 

76-78 


64.4 
151.3 
93.4 



5 



268 
264 
268 




1 


1 



4 
2 
6 




7 
1 
8 



6 
3 
9 



2 
4 
6 



20 
10 
30 




Briefs: 

pages per case 


76 

77 

78 

76-78 


16.9 
32.0 
22.2 



15 




76 
40 
76 



4 

4 



1 



1 



5 
6 
II 




1 


1 









II 

6 
17 




Exhibits; 
pages per case 


76 

77 

78 

76-78 


25.4 
19.1 
23.2 



2 



103 

97 

103 



3 

1 
4 




1 

5 
6 



II 

2 
13 




1 
1 

2 









16 

9 
25 




Contested 
motions; 
number per cose 


76 

77 

78 

76-78 


.8 
3.5 
1.7 







3 

7 
7 



3 

1 
4 




1 
1 
2 





















4 
2 
6 




Written opinions 
by ALJ; 
pages per cose 


76 

77 

78 

76-78 


3.9 

4.2 
4.0 


1 

2 

1 


21 

14 
21 



26 
13 
39 



10 

9 
19 



4 
1 
5 
















40 
23 
63 



Procedures — 

When, after investigation, the Secretary finds a violation 
of the child labor provisions of the FLSA, he shall assess a 
penalty and issue a notice of penalty. The charged party has 
15 days in which to except. If he does so, the case is referred 
to the CALJ for assignment to an ALJ who will conduct a 
hearing. Prehearing conferences may be conducted. 



The parties have 15 days after the close of the hearing to 
file proposed findings and conclusions. The ALJ shall then 
prepare, "as promptly as practicable" a decision or order. 
This decision constitutes final agency action (29 CFR 580.32). 



2i\k 



Agency: DEPARTMENT OF LABOR 

Case type: Davis-Bacon Act 

Wage Rate Disputes 



Case-Closed Cards Submitted— ° 

FY: 76 77 78 76-78 

Number: 20 6 6 32 



MAhJNER OF TERMINATION (number of cases) 

Not on AAerits — 

Settlement 
Withdrawal 
Dismissal 
Other 

On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



16 


77 


78 


76-78 





2 





12 








1 


1 


1 








1 














9 


4 


3 


16 




















2 


2 



AGENCY REVIEW (number of cases) 



Review- 


76 


77 


78 


76-78 


Yes: 
No: 


3 
17 


1 
5 



6 


4 
28 


Result- 










Affirm 
Reverse 
Modify 
Remand/Other 


3 





1 












4 






ELAPSED TIME DATA 



Notes— 

° In FY 1 978, DOL submitted case-closed cards only for 
the first three quarters. 







Case 




Elapsed Time (days) 


Distribution of Cases by Elapsed Time (cases) 


N 


Stage of Ca 


se 

Direction of 


Breakdow 


n FY 
76 


Avg 

441.4 


Min 




Max 

930 


0-lmo 


l-4mo 


4-l2mo 


l-2yr 

7 


2yr+ 

4 


(coses) 


Prehearing 


All 


4 





3 


18 




hearing by 


Cases 


77 


148.8 





585 


3 








1 





4 




Administrator / 




78 


35.0 


35 


35 





1 











1 




Referral to CALJ 




76-78 


372.9 





930 


7 


1 


3 


a 


4 


23 


Hearing 


Referral to CALJ / 


With ALJ 


76 


267,5 


121 


446 





1 


7 


1 





9 




ALJ's decision 


Hearing on 77 


212.5 


110 


295 





1 


3 








4 






Merits 


78 


153.7 


90 


187 





1 


2 








3 








76-78 


232.4 


90 


446 





3 


12 


1 





16 






All 


76 


241.2 


63 


457 





2 


7 


2 





1 1 






Other 


77 


164.5 


123 


206 








2 








2 






Cases 


78 


267.3 


158 


430 








2 


1 





3 








76-78 


236.5 


(,3 


457 





2 


II 


3 





16 


Postheoring 


ALJ's decision / 


With 


76 


125.0 


63 


194 





2 


1 








3 




final agency action 


Agency 


77 


126.0 


126 


126 








1 








1 






Review 


78 


_ 
































76-78 


125.2 


63 


194 





2 


2 








4 






All 


76 


3.6 





58 


15 


1 











16 






Other 


77 


9.(, 





48 


4 


1 











5 






Cases 


78 


5.0 





29 


6 























76-78 


5.0 





58 


25 


2 











27 


Total Time 


Direction of 


With 


76 


548.5 


265 


832 








1 





1 


2 




hearing / Final 


Agency 


77 


1006.0 


1006 


1006 














1 


1 




agency action 


Review 


78 


— 


_ 





























76-78 


701.0 


265 


1006 








1 





2 


3 






All 


76 


730.7 


(>9 


1127 





1 


1 


5 


9 


16 






Other 


77 


155.0 


119 


223 





1 


2 








3 






Cases 


78 


465.0 


465 


465 











1 





1 








76-78 


631.1 


69 


1127 





2 


3 


6 


9 


20 



2« 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing— 















FY: 




76 


77 


78 


76-78 
















Number: 




11 


4 


4 


19 






Ifem 


FY 

76 

77 

78 

76-78 


Time/Effort (days, p 
Avg Min 

3.3 1 

1.5 1 
L8 1 

2.6 1 


oges, etc.) 
Max 


Distribution o 
0-2 3-9 

5 6 

4 

3 1 

12 7 


f Cases 
10-59 


by Time/Effort Item 
60-199 200+days, etc. 








N 
(cases) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearing: 
separate 
dcrys per ccse 


7 
2 

4 

7 








11 
4 
4 

19 




ALJ prehearing 
and hearings 
flours per case 


76 

77 

78 

76-78 


19.7 
8.3 
6.3 

14.5 


1 

5 




45 
12 
20 
45 


2 

2 
4 


2 
2 

1 
5 


7 

2 

1 

10 

















11 
4 
4 

19 




ALJ Travel: 
iTours per cose 


76 

77 

78 

76-78 


10.9 
5.8 
3.8 
8.1 


5 
4 
2 
2 


22 
8 
6 

22 




2 
2 


5 
4 
3 
12 


6 


6 
















II 
4 
5 

20 


Parties 


Petitioners, respcwv- 
dents, intervenors 
(inclixiing ogency); 
number per cose 


76 

77 

78 

76-78 


6.2 
4.0 
5.5 
5.6 


1 

2 
2 

1 


19 

6 

16 

19 


6 
1 

3 
10 


4 
3 


7 


3 


1 
4 
















13 

4 

4 

21 


Paperworl< 


Evidentiary docu- 
ments (excluding 
briefs): 
number per cose 


76 

77 

78 

76-78 


36.8 

14.7 

1.0 

24.0 


1 

14 

1 

1 


no 

15 

1 

110 


1 



1 
2 








2 
3 


5 




1 




1 








4 
3 
1 
8 




Transcripts: 
|>ages per case 


76 

77 

78 

76-78 


538.5 
222.0 
107.8 
38 L2 


16 
26 

8 

8' 


1296 
531 
265 

1296 











1 
1 


3 
1 
1 
5 




1 
1 
1 

3 


7 

2 

1 

10 


11 
4 
4 

19 




Briefs: 

pages per case 


76 

77 

78 

76-78 


46.0 
40.0 
19.0 
4L7 


10 
9 

19 
9 


112 
71 
19 

112 










1 



1 


4 


1 
5 




2 

1 


3 








6 
2 
1 
9 




Exhibits: 
pages per case 


76 

77 

78 

76-78 


919.0 

105.0 

78.3 

505.3 


6 
8 
1 

1 


6000 
250 
209 

6000 






1 
1 


1 
1 
1 

3 










3 
2 
1 
6 


4 

1 
1 
6 


8 

4 

4 

16 




Contested 
motions: 
number per cose 


76 

77 

78 

76-78 


2.2 
2.0 
1.0 
2.0 



2 

1 



4 
2 

1 
4 


3 
2 

1 
6 


3 


3 






















6 
2 

1 
9 




Written opinions 
by ALJ: 
pages per case 


76 

77 

78 

76-78 


13.8 
8.5 
5.4 

10.5 


3 
3 
2 
2 


28 
19 
13 
28 





1 
1 


4 
3 
3 

10 


6 
1 
1 

8 

















10 
4 
5 

19 



Procedures— 

The Act confers upon the Secretary the authority to 
determine prevailing minimum wages and fringe benefits to 
laborers and mechanics engaged in government construction 
contract work. General wage determinations must be 
published in the Federal Register; determinations made for 
applications in specific projects do not. All such 
determinations may be made on the basis of information 
obtained and compiled from various voluntary submissions. A 
field survey may be deemed necessary. 

Whenever the Administrator of the Wage and Hour Division 



"deems it necessary because of insufficiency of information 
or impracticality of a field survey or both, he may direct a 
hearing be held". The CALJ designates an ALJ to proceed to 
the project area and conduct necessary hearings. Prehearing 
conferences are provided. The ALJ is empowered to draft a 
proposed decision and any interested persons may file 
exceptions within 5 days. The Administrator shall rule upon 
any exceptions filed and shall moke a determination as to the 
prevailing wage rates. A further appeal may be taken to the 
Wage Appeals Board which has the descretion to review such 
a determination. 



246 



Agency: DEPARTMENT OF LABOR 

Case type; Office of Federal Contracts Compliance 
Enforcement 



Case-Closed Cards Submitted — ° 

FY: 76 77 78 76-78 

Number: 12 3 8 23 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 

Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



3 

1 


1 

1 


2 
2 





1 














5 





3 


2 





1 


1 









76-78 

6 
4 
I 




AGENCY REVIEW (number of cases) 



Review- 


76 


77 


78 


Yes: 
No: 


1 
II 



3 



8 


Result- 








Affirm 
Reverse 
Modify 
Remand/Other 


1 



















76-78 



22 



ELAPSED TIME DATA 





Case 
Breakdowi 


n FY 

76 

77 

78 

76-78 


tiapsed 


1 ime 1 


days) 


Distribution of Ca 


ses by hlq 


psed Tin 


ne (cases 


N 


Stage of Case 


Avg 

80.8 

II 1.0 

20.4 

53.6 


Min 

7 

III 

1 

1 


Max 

189 

III 

55 

189 


0-lmo 


!-4mo 


4-!2mo 


l-2yr 








2yr+ 




D 


(coses) 


Prehearing 


All 
Cases 


2 


3 
5 


1 
1 

2 
4 


1 




1 


4 
1 

5 
10 


Hearing Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


304.6 

391.0 
336.0 


91 

292 

91 


596 

603 
603 








1 



1 


4 

3 
7 


2 

1 
3 








7 



4 

II 




All 

Other 

Coses 


76 

77 

78 

76-78 


236.8 
255.3 
249.3 
245.6 


9 

3! 

161 

9 


666 
602 
309 
666 


1 



1 


1 
1 


2 


2 
1 

4 

7 


1 
1 


2 








5 

3 

4 

12 


Postheoring ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


65.0 
65.0 


65 
65 


65 
65 








1 




1 
























1 




All 

Other 

Cases 


76 

77 

78 

76-78 




















10 
3 
8 

21 


























10 
3 
8 

21 


Total Time 


With 

Agency 

Review 


76 

77 

78 

76-78 


829.0 
829.0 


829 
829 


829 
829 


























1 




1 


1 



1 




All 

Other 

Cases 


76 

77 

78 

76-78 


264.3 
142.0 
292.0 
266.1 


120 
142 
164 
120 


351 
142 
347 
351 








1 




1 


2 

1 

5 
8 














3 

1 

5 
9 



Notes— 

° In FY 1 978, DOL submitted case-closed cords only for 
the first three quarters. 



2*7 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



FY 



Time/Effort (days, pages, etc.) 



Avg 



Min 



Max 



Cases with full or partial hearing— 

FYi 76 77 78 76-78 

Number; 8 4 12 

Distribution of Coses by Time/Effort Item N 

0-2 3-9 10-59 60-199 2004days, etc. (coses) 



PYebeoring ALJ prehearing 
& Hearing and hearing; 
Time separate 

days per cose 

ALJ prehearing 

and hearings 
hours per cose 



ALJ Travel: 
hours per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



3.0 



Parties PetiticKners, respoin- 76 

dents, intervenors 77 

(including agency); 78 

number per cose 76-78 

Paperwork Evidentiary docu- 76 

ments (excluding 77 

briefs); 78 

number per cose 76-78 



Transcripts; 
pages per cose 



Briefs; 

poges per case 



Exhibits: 
poges per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Contested 76 

motions; 77 

number per case 78 

76-78 

Written opinions 76 

by ALJ: 77 

pages per cose 78 

76-78 



6.8 


1 


12 


4.2 


1 


12 


14.8 


6 


41 


35.3 


2 


96 


2LI 


2 


% 


14.0 





40 


13.0 





28 


13.6 





40 


15.2 


2 


72 


2.8 


2 


4 


11.4 


2 


72 


47.0 


32 


80 


240.0 


10 


700 


129.7 


10 


700 


497.7 


154 


1515 


777.5 


44 


1772 


599.5 


44 


1772 


91.2 


28 


200 


80.5 


40 


121 


88.5 


28 


200 


241.1 


7 


700 


535.0 


20 


2000 


339.1 


7 


2000 


4.7 


4 


6 


3.0 


2 


4 


4.0 


2 


6 


14.0 


9 


21 


13.0 


8 


21 


13.7 


8 


21 





I 

2 

4 

2 
6 

























I 
I 








5 



5 

4 

I 
5 

2 

I 
3 

2 


2 

4 
















I 








1 

2 

2 


I 
3 

2 


1 
3 






































9 

4 
13 

9 

4 
13 

6 



4 

10 

9 

4 
13 

4 

3 
7 

7 

4 
II 

6 

2 



Procedures — 

The coses are initiated by complaints filed by employees or 
applicants for employment and should be filed not later than 
180 days from the alleged discrimination. Complaints may be 
filed with the Director of the OFCC or with the contracting 
agency. The Director shall then designate a compliance 
agency (usually the contracting agency) to investigate each 
complaint filed and to report its findings. If further 
investigation is not deemed necessary, and if a found 
violation has not been resolved by informal means, the 
Director or the agency with the approval of the Director shall 
afford the contractor a hearing. Notice is sent to the 
contractor. The ALJ is appointed by either the Secretary of 



Labor or another agency head. A labor union may become a 
party if its contract is at issue. 

The contractor has 20 days in which to file an answer. 
Within 20 days after the receipt of the transcript of the 
testimony given at the hearing, each party may file a brief 
with the ALJ. The ALJ shall make his recommended decision 
to the Secretary within a reasonable time. Each party has 14 
days to file exceptions. (If the hearing was conducted by 
another agency, the hearing officer makes recommendations 
to the agency head, who decides whether or not to invoke 
sanctions, subject to the approval of the Director.) 



248 



Agency: DEPARTMENT OF LABOR 

Cose type: Farm Labor Contractor Registration Act 
Enforcement 



Case-Closed Cards Submitted— ° 

FY: 76 77 78 76-78 

Number: 4 5 16 25 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



2 


3 


1 


2 














1 














2 


6 

















8 



76-78 

6 
2 



AGENCY REVIEW (number of cases) 

Review- 76 77 78 76-78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 




16 




25 



ELAPSED TIME DATA 





e 

Request for 
hearing / Referral 
to CALJ 


Case 
Breal<dowi 


n FY 

76 

77 

78 

76-78 


Elapsed 


Time 


days) 


Distribution 


of La 


ses by Elq 


psedTir 


ne (cases 


' N 


Stage of Cos 


Avg 

53.0 
102.0 
174.2 
142.7 


Min 

49 
36 
29 
29 


Max 

60 
147 
367 
367 


0-lmo 1 


-4mo 


4-l2mo 


l-2yr 




1 
1 


2yr+ 







(cases) 


Prehearing 


All 
Cases 





1 

1 


3 
2 
4 
9 




3 

9 

12 


3 

5 

15 

23 


Hearing 


Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


100.0 
242.2 
206.6 


89 
94 
89 


III 
588 
588 









2 
3 
5 





1 
1 




2 
2 









2 
6 
8 






All 

Other 

Cases 


76 

77 

78 

76-78 


50.8 
72.3 
66.2 
63.6 


36 

44 

5 

5 


70 
129 
280 
280 




4 
4 


4 

2 

5 

11 



1 

1 
2 














4 

3 

10 

17 


Posthearing 


Not applicable 


With 

Agency 

Review 


76 

77 

78 

76-78 


- 


- 


- 










































All 

Other, 

Cases'^ 


76 

77 

78 

76-78 




















4 

5 

16 

25 


























4 

5 

\6 

25 


Total Time 


Request for 
hearing / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


- 


- 


- 










































All 

Other 

Cases 


76 

77 

78 

76-78 


104.0 
185.4 
308.4 
255.0 


86 

160 

75 

75 


119 
236 
655 

655 








3 

2 

5 




5 

9 

14 




4 
4 








3 

5 

15 

23 



Notes — 

° In FY I 978, DDL submitted case-closed cords only for 
the first three quarters. 

There is no elapsed time in the posthearing stage because 
the ALJ's decision constitutes final agency action. 



249 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or partial hearing— 

FYs 76 77 78 76-78 

Number: I 3 7 II 









Time/Effort (days, pages, etc.) 


Distribution of Coses by Time/Effort Item 


N 




Item 


FY 

76 

77 

78 

76-78 


Avg 

1.0 
1.0 
2.7 
2.1 


Min 


Max 


0-2 

1 

3 
5 
9 


3-9 




1 
1 


10-59 


60-199 







20&tdays, etc. 







(coses) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearing: 
separate 
days per case 


1 
1 

10 
10 






1 
1 


1 

3 

7 

11 




ALJ prehearing 

and hearing: 
hours per case 


76 

77 

78 

76-78 


1.0 

2.7 

17.1 

11.7 




1 

6 

75 
75 


1 

2 
2 
5 




1 

2 
3 




2 
2 





1 
1 








1 

3 

7 

II 




ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 


2.0 

7.0 

10.3 

8.6 


2 

5 
3 
2 


2 
10 
36 
36 


1 



1 



2 

6 
8 




1 
1 
2 














1 
3 

7 
II 


Parties 


Petitioners, irespoH- 
dents, intervenors 
(including agency): 
number per cose 


76 

77 

78 

76-78 


3.0 
7.3 
7.1 
6.8 


3 
2 
2 
2 


3 
18 
22 
22 



2 
4 
6 


1 


1 
2 



1 

2 
3 














1 

3 
7 
II 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs): 
number per cose 


76 

77 

78 

76-78 


18.0 
18.0 


4 
4 


36 
36 












1 
1 




2 
2 
















3 
3 




Transcripts: 
pages per case 


76 

77 

78 

76-78 


10.0 

81.7 

530.1 

360.5 


10 
4 
8 
4 


10 

234 

2848 

2848 









2 
1 
3 


1 


3 
4 










1 

3 
4 


1 
3 

7 
II 




Briefs: 

pages per cose 


76 

77 

78 

76-78 


60.0 
24.3 
31.4 


60 
8 
8 


60 
50 
60 











1 
1 




3 
3 




1 



1 









1 

4 
5 




Exhibits: 
pages per cose 


76 

77 

78 

76-78 


1.0 
10.0 
65.5 
50.5 


1 
10 

1 
1 


1 

10 

250 

250 


1 



1 

2 





1 
1 



1 

2 
3 





1 

1 





1 
1 


1 
1 

6 
8 




Contested 
motions: 
number per case 


76 

77 

78 

76-78 


: 


= 


= 









































Written opinions 
by ALJs 
pages per case 


76 

77 

78 

76-78 


6.5 

4.1 
4.4 


6 

1 
1 


7 
15 
15 




10 
10 



2 
3 
5 




2 
2 
















2 

15 

17 



Procedures — 

The prehearing stage begins when a hearing is requested. 
Hearing requests are referred to the CALJ who designates an 
ALJ to preside. Within 10 days_, the ALJ notifies the parties 
of the date of the hearing, which will be no earlier tnan 15 
days after the notice. 

After the close of the hearing, the ALJ prepares a 
decision, which constitutes final agency action on the matter. 



250 



Agency: DEPARTMENT OF LABOR 

Case type: Comprehensive Employment and Training Act 
Grants Disputes 



Case-Closed Cards Submitted — ° 

FY: 76 77 78 76-78 

rvlumber: 7 3 10 20 



MANNER OF TERMINATION (number of cases) 



Not on Merits — 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits- 



ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76 



77 



4 


1 


1 





1 


1 





1 


1 











3 





7 





















78 76-78 

6 
2 
2 





AGENCY REVIEW (number of cases) 
Review— 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76-78 



ELAPSED TIME DATA 





Case 
Breal<dow 


n FY 

76 

77 

78 

76-78 


blapsed 


lime 


days) 


Distribution of Ca 
0-lmo l-4mo 


ses by Elq 
4-l2mo 


psedTi 
l-2yr 







me (cases) 
2yr+ 







N 


Stage of Cose 


Avg 

45.5 
98.0 
42.3 
52.7 


Min 

30 
98 
10 
10 


Max 

61 
98 
71 
98 


(cases) 


Prehearing Notice of hearing / 
Referral to CALJ 


All 
Cases 


1 


1 
2 


1 
1 

2 
4 








2 

1 

3 
6 


Hearing Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


146.7 

142.4 
143.7 


III 

31 
31 


189 

244 
244 








1 


2 
3 


2 

5 
7 















3 



7 

10 




All 

Other 

Cases 


76 

77 

78 

76-78 


66.3 
112.7 
195.0 
118.8 


46 
57 
191 
46 


83 
220 
199 
220 








4 
2 

6 




1 

3 
4 
















4 

3 

3 

10 


Posthearing ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


223.0 
223.0 


22! 
223 


22I 
223 

















1 
1 

















1 
1 




All 

Other 

Cases 


76 

77 

78 

76-78 






12.2 

5.8 











no 
110 


7 

3 

8 

18 





1 

1 






















7 

3 

9 

19 


Total Time Notice of hearing / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


= 


= 


= 








































All 

Other 

Cases 


76 

77 

78 

76-78 


149.5 
159.0 
206.3 

179.5 


129 
159 
169 
129 


170 
159 
270 
270 














2 

1 

3 
6 














2 

1 

3 
6 



Notes— 

° In FY 1978, DOL submitted case-closed cards only for 
the first three quarters. 



251 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or partial hearing— 

FYs 76 77 78 76-78 

Numbers 3 2 8 13 



Time/Effort (doySj pages, etc.) Distribution of Coses by Time/Effort Item 



N 





Item 


FY 

76 

77 

78 

76-78 


Avg 

1.3 
1.0 
2.6 
2.2 


Min 

1 
1 
1 
1 


Max 


0-2 

3 
1 

6 
10 


3-9 




1 
1 


10-59 


60-199 







2004days, etc. 







(cases) 


Prehearing 

& Hearing 
Time 


ALJ prehearing 
and hearing: 
separate 
days per case 


2 
1 

10 
10 





1 
1 


3 

1 

8 
12 




ALJ prehearing 
and hearings 
hours per cose 


76 

77 

78 

76-78 


8.3 

3.0 

18.1 

14.4 


3 
3 




19 

3 

100 

100 




2 
2 


2 

1 
4 

7 


1 



1 

2 





1 
1 








3 

1 

8 
12 




ALJ Travels 
hours per cose 


76 

77 

78 

76-78 


8.3 
6.0 
8.9 
8.5 


6 
6 
3 
3 


12 

6 

21 

2! 








2 

1 

5 
8 


1 


2 
3 














3 

1 

7 
1! 


Parties 


Petitioners, respon- 
dents, interverrars 
(including agency)s 
number per cose 


76 

77 

78 

76-78 


8.0 
4.0 
3.5 
4.7 


5 
4 
2 
2 


10 
4 
8 

10 




4 
4 


2 

1 

4 
7 


1 



1 














3 
1 

8 
12 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs^s 
number per case 


76 

77 

78 

76-78 


36.0 

34.5 
35.0 


36 

22 

22 


36 

47 
47 














1 


2 
3 














1 


2 
3 




Tronscriptss 
pages per case 


76 

77 

78 

76-78 


249.3 

33.0 

396.9 

329.7 


101 

33 

7 

7 


536 

33 

2002 

2002 











1 
1 



1 


1 


2 

4 
6 


1 


3 
4 


3 
1 
8 

12 




Briefss 

pages per case 


76 

77 

78 

76-78 


35.3 

336.0 
223.2 


17 





47 

1357 
1357 





1 

1 








3 


1 
4 




1 

1 




2 
2 


3 

5 
8 




Exhibitss 
pages per cose 


76 

77 

78 

76-78 


83.3 

715.7 
504.9 


10 

50 
10 


150 

2200 
2200 














1 


2 

3 


2 


1 
3 




3 
3 


3 

6 
9 




Contested 
motions: 
number per case 


76 

77 

78 

76-78 


1.0 

4.5 
3.3 


i 

4 

1 


1 

5 
5 


1 




1 




2 
2 




















1 


2 
3 




Written opinions 
by ALJ: 
pages per case 


76 

77 

78 

76-78 


9,7 

17.1 
14.9 


6 

3 
3 


12 

60 
60 








1 


3 
4 


2 

3 

5 





1 
1 









3 

7 
10 



Procedures — 

An opportunity for a hearing is required: 

a) before final disapproval of any Comprehensive 
Manpower Plan or application for financial assistance; 

b) when the Regional Administrator receives a formal 
allegation from_ an affected unit of local government that 
there is a violation by a grantee; 

c) when an investigation of a formal allegation made by 
any person or unit of government indicates that there is 
substantial evidence of facts supporting a conclusion of 
probable cause to believe there is a violation; or 

d) when the Secretary has reason to believe a violation has 
occurred, or determines that fairness and the effective 



operation of CETA programs would be furthered by an 
opportunity for a hearing. 

When on opportunity for a hearing is required, the affected 
respondent and complainant (if any) shall be given reasonable 
notice. The matter may be set for a hearing onlv on request 
of the respondent. The ALJ will moke an Initial decision on 
the matter unless the Secretary limits his authority in a 
particular case to making a recommended decision. When an 
initial decision is made, respondent has 30 days in which to 
file exceptions. The Secretary may serve notice of intention 
to review on his own motion within 45 days. 



252 



Agency: DEPARTMENT OF LABOR 

Case type: Public Contracts Act 
Enforcement 



Case-Closed Cards Submitted— ° 

FY: 76 77 78 7&-78 

Number: 3 11 5 



MANNER OF TERMINATION (number of coses) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 







































3 


1 


1 





















76-78 








AGENCY REVIEW (number of cases) 
Review— 76 77 78 



Yes: 
No: 



3 




1 




1 


Result- 








Affirm 
Reverse 
Modify 
Remand/Other 





















76-78. 


5 



ELAPSED TIME DATA 





Case 
Breakdowi 


T FY 
76 


Elapsed 


Time 


days) 


Distributic 
0-lmo 


mof Ca 
l-%no 


ses by Ela 
'»-l2mo 


psed Tir 
l-2yr 

2 


ne (cases) 
2yr+ 




N 


Stage of Case 


Avg 

335.0 


Min 

13, 


Max 

579 


(cases) 


Prehearing Report of violation 


All 


1 








3 


/ Referral to CALJ 


Cases 


77 


351.0 


351 


351 








1 








1 






78 


447.0 


447 


447 











1 





1 






76-78 


360.6 


13 


579 


1 





1 


3 





5 


Hearing Referral to CALJ / 


With ALJ 


76 


327.0 


240 


423 








2 


1 





3 


ALJ's decision 


Hearing on 77 


162.0 


162 


162 








1 








1 




Merits 


78 


134.0 


134 


134 








1 








1 






76-78 


255.4 


134 


423 








4 


1 





5 




All 


76 































Other 


77 































Cases 


78 


— 


— 


— 
























76-78 


~ 


~ 


- 




















Postheoring ALJ's decision / 


With 


76 





























Final agency 


Agency 


77 


— 


— 


— 




















action 


Review 


78 

































76-78 


~ 


- 


- 






















All 


76 











3 














3 




Other 


77 











1 














1 




Cases 


78 











1 














1 






76-78 











5 














5 


Total Time Report of violation 


With 


76 





























/Final agency 


Agency 


77 


— 


— 


— 




















action 


Review 


78 


— 


— 


— 
























76-78 


- 


- 


- 






















All 


76 


662.0 


436 


897 











2 


1 


3 




Other 


77 


513.0 


513 


513 











1 





1 




Cases 


78 


581.0 


581 


581 











1 





1 






76-78 


616.0 


436 


897 











4 


1 


5 



Notes — 

° In FY 1978, DOL submitted case-closed cards only for 
the first three quarters. 



253 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing — 















FY: 




76 


77 


78 76-78 
















Number: 




3 


1 




1 5 










Time/Effort (days, pages, efc.) 


Distribut 


on of Cases by 


Time 


/Effort Item 


N 




Item 


FY 


Avg 


Min 


Max 


0-2 3-9 


10-59 60-199 


200+days, etc. 


(cases) 


Prehearing 

& Hearing 
Time 


ALJ prehearing 

and hearing! 
separate 
days per cose 


76 

77 

78 

76-78 


2.0 
1.0 
1.0 
1.6 


2 
1 

1 

1 


2 

1 
1 
2 


3 

1 
1 
5 





























3 

1 
1 
5 




ALJ prehearing 
(md hearing: 
hours per ctnse 


76 

77 

78 

76-78 


6.3 

4.0 
5.8 


3 

4 
3 


10 

4 
10 








2 


1 
3 




1 




1 















3 


1 
4 




ALJ Travel! 
hours per case 


76 

77 

78 

76-78 


7.3 

4.0 

24.0 

10.0 


2 

4 

24 

2 


12 

4 

24 

24 


1 




I 


1 
1 


2 




1 



1 

2 















3 
1 

1 
5 


Parties 


Petitioners, respon- 
dents, interveners 
(including agency): 
number per cose 


76 

77 

78 

76-78 


10.0 
3.0 
9.0 
8.4 


3 
3 
9 
3 


24 
3 
9 

24 








2 

1 
1 
4 




1 




1 














3 

I 
1 
5 


Paperwork 


Evidentiary docu- 
ments (exclipding 
briefs); 
number per case 


76 

77 

78 

76-78 


7.3 
7.3 


4 
4 


12 
12 








2 


2 




1 




1 














. 


3 


3 




Transcripts: 
pages per cose 


76 

77 

78 

76-78 


93.0 

19.0 

109.0 

81.4 


58 

19 

109 

19 


136 

19 

109 

136 
















1 
1 


2 


2 



1 

3 








3 

1 
1 
5 




Briefs; 

pages per cose 


76 

77 

78 

76-78 


24.0 

26.0 
24.7 


21 

26 
21 


27 

26 
27 

















2 

1 
3 














2 


1 
3 




Exhibits: 
pages per cose 


76 

77 

78 

76-78 


25.7 

6.0 

48.0 

26.2 


16 
6 

48 
6 


40 

6 

48 

48 










1 



1 




3 


1 
4 














3 

1 
1 
5 




Contested 
motions: 
number per cose 


76 

77 

78 

76-78 


3.0 
3.0 


2 
2 


5 
5 


2 


2 


1 




1 






















3 


3 




Written opinions 
by ALJ: 
pages per cose 


76 

77 

78 

76-78 


14.7 
12.0 
4.0 
12.0 


9 

12 
4 
4 


24 

12 

4 

24 








1 



1 

2 




2 

1 


3 














3 

1 
1 
5 



Procedures— 

The case is initiated by the filing of a report of a breach of 
contract or violation of the Act with the Department. The 
Deputy Solicitor may issue and serve a formal complaint on 
the respondent, which the respondent has 20 days to answer. 
After the ALJ issues his initial decision or order, any 



interested party may file a petition for review and 
accompanying briefs with the CaLJ within 20 days. The 
petition is heard by the Administrator for Workplace 
Standards who may deny review or review the case on the 
merits. 



254 



Agency: DEPARTMENT OF LABOR 

Case type: Trade Act of 1 974 
Certification 



Case-Closed Cards Submitted— '^ 

FY: 76 77 78 76-78 

Number: 9 4 3 16 



MANNER OF TERMINATION (number of coses) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 















1 








I 


























8 


2 


1 


II 

















2 


2 


4 



AGENCY REVIEW (number of cases) 
Review— 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76-78 



16 



ELAPSED TIME DATA 



Stage of Case 



Case 
Breakdown 



Elapsed Time (days) Distribution of Cases by Elapsed Time (cases) 



FY Avg Min Max 



0-lmo l-4mo 4-l2mo l-2yr 2yr+ 



N 
(cases) 



Prehearing 



tHearing 



All 
Cases 



76 

77 

78 

76-78 



Posthearing 



Total Time 



With ALJ 76 

Hearing on 77 

Merits 78 

76-78 



All 

Other 

Cases 



With 

Agency 

Review 



All 

Other 

Coses 



With 

Agency 

Review 



All 

Other 

Cases 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



88.9 

151.0 

42.5 

99.3 

123.4 

210.0 

61.0 

133.5 

119.0 

168.5 

67.0 

118.0 







118.3 

22.2 



211.8 
340.3 
109.5 
232.4 



64 
67 
39 
39 

119 

196 

61 

61 

119 

133 

64 

64 



183 

280 

.109 

109 



116 

303 

46 

303 

154 

224 

61 

224 

119 

204 

70 

204 







355 

355 



235 

507 

no 

507 























9 

4 

2 

15 













9 

2 

2 

13 

7 









9 

3 



12 









































































9 

4 

2 

15 

8 
2 
I 



I 

2 
2 
5 






9 

4 

3 

16 






9 

4 

2 

15 



Notes— 

"in FY 1978, DOL submitted case-closed cards only for 
the first three quarters. 



255 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing— 

FY: 76 77 78 76-78 

Number: 8 2 I II 



Time/Effort (days, poges, etc.) 





Item 


FY 

76 

77 

78 

76-78 


Avg 

1.0 
1.0 
1.0 
1.0 


Min 

1 
1 
1 

1 


Max 


0-2 

8 

2 

1 

II 


3-9 







10-59 


60-199 







2004days, etc. 







(cases) 


Prehearing 

& Hearing 
Time 


ALJ prehearing 
and hearing: 
separote 
days per case 


1 
1 
1 
1 








8 

2 

1 

II 




ALJ prehearing 
and hearing: 

hours per cose 


76 

77 

78 

76-78 


1.0 
5.5 
1.0 
1.8 


1 
5 

1 

1 


1 
6 

1 
6 


8 


1 
9 



2 

2 




















8 
2 

1 
II 




ALJ Travels 
hours per case 


76 

77 

78 

76-78 


1.0 
4.5 
6.0 
2.2 


1 
1 
6 

1 


1 

8 
6 
8 


7 
1 


8 



1 
1 
2 




















7 

2 

1 

10 


Parties 


PetitionerSj respon- 
dents, interveners 
(incluiling agency): 
number per case 


76 

77 

78 

76-78 


1.8 
6.5 
3.0 
2.7 


1 

3 
3 

1 


3 

10 

3 

10 


6 


6 


2 

1 
1 
4 




1 



1 














8 
2 

1 

II 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs); 
number per case 


76 

77 

78 

76-78 


17.0 
17.0 


17 
17 


17 
17 
















1 



1 















1 


1 




Transcripts: 
pages per cose 


76 

77 

78 

76-78 


19.5 

105.5 

52.0 

38.1 


5 

101 

52 

5 


29 
110 

52 
110 








1 




1 


7 


1 

8 



2 

2 








8 
2 

1 
II 




Briefs: 

poges per cose 


76 

77 

78 

76-78 


9.0 
9.0 


7 
7 


II 

II 










1 



1 



1 


1 















2 

2 




Exhibits: 
pages per case 


76 

77 

78 

76-78 


2.6 
33.0 
27.0 
13.3 


1 
32 
27 

1 


6 
34 
27 
34 


3 



3 


2 



2 



2 

1 
3 














5 
2 
1 
8 




Contested 
motions: 
number per cose 


76 

77 

78 

76-78 


- 


E 


- 








































Written opinions 
by ALJ: 
pages per cose 


76 

77 

78 

76-78 


4.9 
7.0 
5.3 

5.5 


2 
2 
3 
2 


7 
12 

9 
12 


1 
1 


2 


7 

2 

3 

12 




1 



1 
















8 

4 

3 

15 



Procedures — 

A group of workers or their authorized representative 
begins the process by filing a petition for a certification of 
eligibility to apply for adjustment assistance. Upon receipt 
of a petition, tne Director of the Office of Trade Adjustment 
Assistance must publish a notice of the petition in the 
Federal Register. The Director will then initiate an 
investigation. A hearing will be held if requested within 10 
days by the petitioner or other person found to have a 
substantial interest in the proceedings. 

The Director will often submit to the ALJ a report of the 
investigation and recommendations concerning whether or not 
to issue a certificate of eligibility. These submissions will be 
made no later than 45 days after the filing of the petition. 
No later than 15 days after receiving the recommendations, 
the ALJ will moke a determination on the petition, and, 



where affirmative, issue a certificate of eligibility. Notice 
of a determination and the reasons therefore will be published 
in the Federal Register. 

Applications for reconsideration of a determination may be 
fiJed no later than 30 days after publication of the 
determination. If reconsideration is granted, petitioners and 
Interested persons have 10 days to file written statements. 
The ALJ will make a determination on reconsideration no 
later than 45 days after granting reconsideration. This 
constitutes final agency action. 

The Director may also initiate an investigation when he 
has reason to believe that a certification of eligibility should 
be terminated. The same procedures are used. 



256 



Agency: DEPARTMENT OF LABOR 

Cose type: Fair Labor Standards Act 
Rulemaking 



Case-Closed Cards Submitted— ° 

FY: 76 77 78 76-78 

Number: 6 5 N/A N/A 



MANNER OF TERMINATION (number of coses) 
Not on Merits- 76 77 78 



Settlement 
Withdrawal 
Dismissal 
Other 

On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



1 2 N/A N/A 

2 N/A N/A 
N/A N/A 
2 N/A N/A 



1 N/A N/A 

N/A N/A 

3 N/A N/A 



AGENCY REVIEW (number of cases) 

Review- 76 77 78 76-78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



N/A 
5 N/A 



N/A 

N/A 

N/A 

N/A 



N/A 
N/A 



N/A 
N/A 
N/A 
N/A 



ELAPSED TIME DATA 







Case 




Elapsed Time (days) 


Distribution of Cases by Elapsed Time (coses) 


N 


Stage of Coj 


>e 

Publication of 


Breakdow 


n FY 
76 


Avg 

90.0 


Min 

55 


Max 

120 


0-lmo 


l-4mo 


4-l2mo 


l-2yr 




2yr+ 




cases; 


F'rehecring 


All 





6 





6 




proposal in Federal 


Cases 


77 


180.8 


108 


278 





1 


4 








5 




Register / Referral 




78 


N/A 


N/A 


N/A 

















to CALJ 




76-78 


N/A 


N/A 


N/A 


- 


~ 


- 


- 


~ 


— 


Hearing 


Referral to CALJ / 


With ALJ 


76 


139.0 


139 


139 








1 








1 




ALJ's certification 


Hearing on 77 


_ 


_ 


_ 






















of the record 


Merits 


78 


N/A 


N/A 


N/A 








__ 














76-78 


N/A 


N/A 


N/A 


- 


- 


~ 


- 


~ 


- 






All 


76 


122.2 


37 


343 





4 


I 








5 






Other 


77 


110.8 


60 


161 





2 


3 








5 






Cases 


78 


N/A 


N/A 


N/A 






















76-78 


N/A 


N/A 


N/A 


- 


- 


~ 


- 


- 


- 


Post hearing 


ALJ's certification 


With 


76 


„ 


„ 


_ 






















of the record / 


Agency 


77 































Final agency 


Review 


78 


N/A 


N/A 


N/A 


















action 




76-78 


N/A 


N/A 


N/A 


- 


~ 


- 


- 


- 


- 






All 


76 











6 














6 






Other 


77 











5 














5 






Cases 


78 


N/A 


N/A 


N/A 























76-78 


N/A 


N/A 


N/A 


- 


- 


- 


~ 


- 


— 


Total Time 


Publication of 


With 


76 


„ 


„ 


„ 






















proposal in Federal 


Agency 


77 


— 


— 


_- 






















Register / Final 


Review 


78 


N/A 


N/A 


N/A 














__ 






agency action 




76-78 


N/A 


N/A 


N/A 


- 


- 


- 


- 


~ 


- 






All 


76 


215.0 


112 


441 





1 


4 


1 





6 






Other 


77 


291.6 


189 


439 








4 


1 





5 






Cases 


78 


N/A 


N/A 


N/A 





















76-78 


N/A 


N/A 


N/A 


— 


— 


~ 


— 


— 


- 



Notes — 

° FY 1978 data are unavailable because rulemaking 
proceedings were mixed with child labor civil penalty cases. 



257 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



Time/Effort (days, pages, etc.) 
FY Avg Min Max 



Coses with full or partial hearing — 

FY: 76 77 78 76-78 

Number; 1 N/A N/A 

Distribution of Cases by Time/Effort Item N 

0-2 3-9 10-59 60-199 200Klays, etc. (cases) 



Prehearing ALJ prehearing 
& Hearing and hiearings 
Time separate 

days per cose 

ALJ prehearing 

and hearings 
hours per case 



ALJ Travel: 
hours per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Parties Petitioners, responi- 76 

dents, interveners 77 

(including agency); 78 

number per cose 76-78 

Paperwork Evidentiary doco- 76 

ments (excluding 77 

briefs): 78 

number per case 76-78 



1.0 



Transcripts: 
pages per case 



Briefs: 

poges per cose 



Exhibits: 
jxiges per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Contested 76 

motions: 77 

number per case 78 

76-78 

Written opinions 76 

by ALJ; 77 

pc^es per cose 78 

76-78 



N/A 


N/A 


N/A 


N/A 


N/A 


N/A 


8.0 


8 


8 


N/A 


N/A 


N/A 


N/A 


N/A 


N/A 


16.0 


16 


16 


N/A 


N/A 


N/A 


N/A 


N/A 


N/A 


2.0 


2 


2 


N/A 


N/A 


N/A 


N/A 


N/A 


N/A 


10.0 


10 


10 


N/A 


N/A 


N/A 


N/A 


N/A 


N/A 


58.0 


158 


158 


N/A 


N/A 


N/A 


N/A 


N/A 


N/A 


19.0 


19 


19 


N/A 


N/A 


N/A 


N/A 


N/A 


N/A 


15.0 


15 


15 


N/A 


N/A 


N/A 


N/A 


N/A 


N/A 


4.0 


4 


4 


N/A 


N/A 


N/A 


N/A 


N/A 


N/A 


10.0 


10 


10 


2.0 


2 


2 


N/A 


N/A 


N/A 


N/A 


N/A 


N/A 





































I 









Procedures — 

These are rulemaking proceedings which sometimes require 
on evidentiary hearing presided over by an ALJ. 



258 



Agency: DEPARTMENT OF LABOR 

Cose type: Occupational Safety and Health Act 
Rulemaking 



Case-Closed Cards Submitted— ° 

FY: 76 77 78 76-78 

Number: 4 4 2 10 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



1 








1 


























1 








1 


4 


2 












76-78 

I 
I 






AGENCY REVIEW (number of cases) 



Review- 
Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 77 78 76-78 













ELAPSED TIME DATA 



Stage of Case 



Prehearing Publication of 

proposal in Federal 
Register / Referral 
to CALJ 

Hearing Referral to CALJ / 

ALJ's certification 
of the record 



Posthearing ALJ's certification 
of the record / 
Final agency 
action 



Total Time Publication of 

proposal in Federal 
Register / Final 
agency action 



Case 



Elapsed Time (days) 



Dis tributio n of Cases by Elapsed Time (cases) n 



Breakdown FY 


Avg 


Min 


Max 


0-lmo 


l-4mo 


4-l2mo 


l-2yr 


2yr+ 


(cases 


All 


76 


454.0 


454 


454 











1 





1 


Cases 


77 


- 


- 


- 






















78 


- 


_ 


- 






















76-78 


454.0 


454 


454 











1 





1 


With ALJ 


76 


221.5 


168 


275 








2 








2 


Hearing on 77 


381.8 


237 


807 








3 





1 


4 


Merits 


78 


IB3.5 


156 


211 








2 








2 




76-78 


292.1 


156 


807 








7 





1 


8 


All 


76 


513.0 


213 


813 








1 





1 


2 


Other 


77 


- 


_ 


_ 




















Cases 


78 


_ 


_ 


_ 






















76-78 


513.0 


213 


813 








1 





1 


2 


With 


76 


224.0 


224 


224 








1 








1 


Agency 


77 


- 


- 


- 




















Review 


78 


_ 


_ 


_ 






















76-78 


224.0 


224 


224 








1 








1 


All 


76 











3 














3 


Other 


77 











4 














4 


Cases 


78 


5.0 





10 


2 














2 




76-78 


I.I 





10 


9 














9 


With 


76 





„ 


„ 




















Agency 


77 


— 


— 


— 




















Review 


78 































76-78 


- 


- 


- 




















All 


76 


1267.0 


1267 


1267 














1 


1 


Other 


77 


- 


- 


- 




















Cases 


78 


- 


_ 


_ 






















76-78 


1267.0 


1267 


1267 














1 


1 



Notes— 

° In FY 1978, DOL submitted case-closed cards only for 
the first three quarters. 



259 



TIME AND EFFORT AT THE HEARING STAGE 



Time/Effort (days, pages, etc) 



Coses with full or partial hearing— 

FYi 76 77 78 76-78 

Number! 2 4 2 8 

Distribution of Cases by Time/Effort Item N 





Item 


FY 

76 

77 

78 

76-78 


Avg 

2.0 

7.0 

3.7 


Min 

1 
7 

1 


Max 


0-2 

1 




1 


3-9 

1 
1 


2 


10-59 


60-199 







20a+<lays, etc. 







(cases) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 

and hearing: 
separate 
days per cose 


3 

7 

7 








2 

1 


3 




ALJ prehearing 
and hearings 
hours per cose 


76 

77 

78 

76-78 


12.0 
56.0 

26.7 


6 
56 

6 


18 
56 

56 








1 




1 


1 
1 


2 














2 

1 


3 




ALJ Travel; 
hours per case 


76 

77 

78 

76-78 


8.0 
8.0 


8 
8 


8 
8 








1 




1 





















1 



1 


Parties 


Petitioners, resport- 
dents, interveners 
(including agency); 
number per case 


76 

77 

78 

7&-78 


3.5 
3.5 


3 
3 


4 
4 








2 



2 





















2 


2 


Paperwork 


Evidentiary doai- 
ments (excluding 

briefs): 
number per cose 


76 

77 

78 

76-78 


62,0 
62.0 


62 
62 


62 
62 




















1 




1 








1 




1 




Transcripts: 
pages per case 


76 

77 

78 

76-78 


323.5 
323.5 


201 
201 


446 
446 


























2 



2 


2 


2 




Briefs: 

pages per case 


76 

77 

78 
76-78 


77,0 
77.0 


77 
77 


77 
77 




















1 




1 








1 




1 




Exhibits: 
pages per case 


76 

77 

78 

76-78 


66.0 
121.0 

84,3 


25 
121 

25 


107 

121 

121 















1 




1 


1 
1 


2 








2 

1 


3 




Contested 

motions: 

number per case 


76 

77 

78 

76-78 


2,0 
2.0 


2 
2 


2 
2 


1 




1 





























1 



1 




Written opinions 
by ALJ: 
pages per cose 


76 

77 

78 

76-78 


19.0 
19.0 


19 
19 


19 
19 














1 





1 














1 




1 



Procedures— 

The proceedings really commence when the Assistant 
Secretary of Occupational Safety and Health begins 
consultations with an advisory committee to seek its 
recommendations as to the formulation of the proposed rule. 
(This period is not counted in these statistics, but rules 
provide that it should not exceed 270 days.) Within 60 days, 
the Assistant Secretary must publish notice of proposed 



rulemaking in the Federal Register. Thirty days ore allowed 
for comment, and a hearing is held at least 1 days after the 
close of the comment period. The ALJ presides over the 
hearing, allowing cross-examination on "crucial issues", but 
makes no initial decision. He certifies the record to the 
Assistant Secretary who has 60 days to make the final 
determination to promulgate or not promulgate the rule. 



260 



Agency: DEPARTMENT OF LABOR 

Cose type: Federal Water Pollution Control Act 
Investigatory Hearings 



Case-Closed Cards Submitted— ° 

FY: 76 77 78 76-78 

Number: 12 3 



MANNER OF TERMINATION (number of coses) 



Not on Merits- 
Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 



ALJ IHearing & Decision 
ALJ IHearing w/o Decision 
ALJ Decision w/o Hearing 



76 



77 



78 76-78 






























1 





1 


1 








1 





1 





1 



























AGENCY REVIEW (number of cases) 
Review— 76 77 78 



76-78 



Yes: 
No: 




1 


1 
1 






1 

2 


Result- 










Affirm 
Reverse 
Modify 
Remand/Other 









1 












1 







ELAPSED TIME DATA 



Stage of Case 



Case 
Breakdown 



Elapsed Time (days) Distribution of Coses by Elapsed Time (coses) 



FY Avg Min Max 



0-lmo l-4mo 'i-l2mo l-2yr 2yr+ 



N 
(coses) 



Prehearing 



hieoring 



All 
Coses 



Post hearing 



Total Time 



76 

77 

78 

76-78 



With ALJ 76 

Hearing on 77 

Merits 78 

76-78 



All 

Other 

Coses 



All 

Other 

Cases 



76 

77 

78 

76-78 



With 76 

Agency 77 

Review 78 

76-78 



76 

77 

78 

76-78 



With 76 

Agerxiy 77 

Review 78 

76-78 

All 76 

Other 77 

Cases 78 

76-78 



98.0 
97.0 

97.3 



245.0 
2«.0 



64.0 

64.0 






430.0 

430.0 

441.0 
305.0 



98 
73 

73 



245 
245 



64 

64 






430 

430 

441 
305 



98 
121 

121 



245 
245 



343.0 343 343 
232.0 232 232 

287.5 232 343 



64 

64 






430 

430 

441 
305 



373.0 305 441 
























I 
I 


2 













2 


3 













I 



I 



















2 



















































































Notes — 

° In FY 1978, DOL submitted case-closed cards only for 
the first three quarters. 



261 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



Prehearing ALJ prehearing 
& Hearing and hearings 
Time sepxirate 

daiys per cose 



Parties 



Paperwork 



ALJ prehearing 
and hearing: 
hours per case 



ALJ Travel: 
hours per case 



FY 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Petitioners, respon- 76 

dentSj interveners 77 

(incli«ling agancy): 78 

number per cose 76-78 

Evidentiary docu- 76 

ments (excluding 77 

briefs); 78 

number per cose 76-78 



Transcripts: 
pages per case 



Briefs: 

pages per cose 



Exhibits: 
poges per cose 



Contested 
motions: 
number per cose 



Written opinions 
by ALJ: 
pages per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Coses with full or partial hearing— 

FY: 76 77 78 76-78 

Number: 2 2 



Time/Effort (days, pages, etc.) 
Avg Min Max 



1.5 


1 


2 


1.5 


1 


2 


8.0 


2 


14 


8.0 


2 


14 


10.5 


8 


13 


10.5 


8 


13 


2.0 


2 


2 


2.0 


2 


2 


5.0 


5 


5 


5.0 


5 


5 


360.0 


360 


360 


360.0 


360 


360 


14.5 


14 


15 


14.5 


14 


15 


32.0 


32 


32 


32.0 


32 


32 


3.0 


1 


5 


3.0 


( 


5 


8.5 


3 


14 


8.5 


3 


.14 



Distribution of Cases by ' 


"ime 


/Effort item 


N 


0-2 


3-9 


10-59 60-199 


200tdays, etc. 


(coses) 




















2 














2 




















2 














2 




















1 





1 








2 




















1 





1 








2 























1 


1 








2 























1 


1 








2 




















2 














2 




















2 














2 























1 











1 























1 











1 
































1 


1 
































1 


1 


























2 








2 


























2 








2 


























1 








1 


























1 








1 




















1 


1 











2 




















1 


1 











2 























1 


1 








2 























1 


1 








2 



Procedures — 

Within 30 days of an alleged discriminatory act, on 
employee or his representative may apply to the Secretary of 
Labor for a review. A copy of the application is to be sent to 
the respondent. The Secretary initiates an appropriate 
investigation including a public hearing (required to be of 
record and subject to 5 USC 554). Upon receiving the ALJ's 
report of the investigation, the Secretary makes findings of 
fact with appropriate relief. 



263 



MARITIME ADMINISTRATION, Department of Commerce 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Case Type 



FY 



Cases 
Pending at 
Start of FY 



New Coses 

Referred to 

Office of ALJs 



Coses Coses 

Terminated Pending at 
by Agency End of FY 



Merchant Marine Act 
Applications for Operating-Differential Subsidy 

46 use 11 75(c) 
ij6CFR20l etseq. 

Applications by a shipping company for a subsidy or an 
amendment to an existing subsidy contract (enabling it to 
operate high cost American flag vessels on a competitve basis 
with lower cost foreign flag vessels). Proceeding is to 
determine whether existing service by American flag vessels is 
inadequate and whether additional operations are in the public 
interest. 



(75) 




5 


4 




76 


8 


II 


7 


12 


77 


12 


13 


8 


17 


78 


17 


10 


5 


22 



76-78 



34 



20 



Merchant Marine Act 
Tentative Operating-Differential Subsidy Rates 
46 use 1176(1) 
46CFR20I etseq. 

Proceedings to determine amount of subsidy to be paid to 
shipping company where such readjustment cannot be reached 
by mutual agreement. 



(75) 



76 


4 








4 


77 


4 








4 


78 


4 





4 






76-78 



Merchant Marine Act 
Applications for Foreign Trade Subsidy 
46 use 1223(a) 
46 CFR 201 et seq. 

Applications by contractors engaging in domestic coastal 
service granted only after opportunity for hearing is given to 
the applicant and interveners. 



(75) 



76 





4 


2 


2 


77 


2 


2 


3 


1 


78 


1 


1 


1 


1 



76-78 



Merchant Marine Act 
Contract Apfyeals 

46 CFR 205 

When shipowner and builder disagree on contract terms, the 
contracting officer (CO) from the Maritime Administration is 
authorized by a standard provision in the contract to make an 
initial determination of the controversy. Since the 
Government, as the subsidizer, is an interested party, a 
procedure was established whereby an appeal from the CO's 
determination is heard by an ALJ on a de novo basis, with 
review by the Administrator. 



(75) 




N/A 


N/A 




76 


10 


4 


3 


II 


77 


II 


5 


8 


8 


78 


8 


8 


4 


12 



7^78 



17 



15 



264 



Agency: MARITIME ADMINISTRATION, Department of Commerce 

Case type: Merchant Marine Act 

Applications for Operating-Differential Subsidy 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 6 7 6 19 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Oecision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 















4 


5 


3 


12 














i 


2 





3 


1 





3 


4 



























AGENCY REVIEW (number of cases) 



Review- 



76 77 



78 76-78 



Yes: 
No: 


1 
5 




7 


3 
3 


4 
15 


Result- 










Affirm 
Reverse 
Modify 
Remand/Other 



1 













3 





4 





ELAPSED TIME DATA 
Stage of Case 


Case 
Breakdow 


n FY 

76 

77 

78 

76-78 


Elapsed Time 
Avg Min 

96.0 54 

110.7 73 
211.2 76 

137.8 54 


(days) 
Max 

143 

185 
403 
403 


Distribution of Coses by Elq 
0-lmo l-4mo 4-l2mo 


psedTir 
l-2yr 




1 
1 


ne (coses) 
2yr+ 







N 
(coses) 


R-ehearing Date of application 
/ Referral to CALJ 


All 
Coses 








4 

5 

2 

II 


2 
2 
3 
7 


6 

7 

6 

19 


Hearing Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


897.0 

650.0 
711.8 


897 

538 
538 


897 

845 
897 






















2 
2 


1 



1 

2 


1 


3 
4 




All 

Other 

Cases 


76 

77 

78 

76-78 


835.8 
229.0 
449.0 
475.3 


62 
12 
97 
12 


1866 
546 
813 

1866 



2 

2 


1 

i 
1 

3 




1 



1 


2 
3 

1 
6 


2 


1 
3 


5 

7 

3 

15 


Postheoring ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


289.0 

413.0 
382.0 


289 

174 
174 


289 

596 

596 














1 



1 

2 




2 
2 








1 


3 
4 




All 

Other 

Coses 


76 

77 

78 

76-78 




















■5 

7 

3 

15 


























5 

7 

3 

15 


Total Time Application / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


1294.0 

1365.0 
1347.3 


1294 

894 
894 


1294 

1844 
1844 


























1 


3 
4 


1 


3 
4 




All 

Other 

Cases 


76 

77 

78 

76-78 


929.4 
339.7 
569.3 
582.2 


205 
85 

173 
85 


1948 

678 

1006 

1948 









2 

2 


1 

2 

1 
4 


1 

3 

1 
5 


3 


1 
4 


5 

7 

3 

15 



265 



TIME AND EFFORT AT THE HEARONG STAGE 



Coses with full or partial hearing — 

FY: 76 77 78 76-78 

Numbers 10 5 6 





Item 


FY 

76 

77 

78 

76-78 


rime/Effort 
Avg 

25.0 

11.4 
13.7 


(days, f 

Min 

25 

1 

1 


Kiges, etc.) 

Max 


Distribution c 
CL2 3-9 



3 
3 


>f Cases by " 
10-59 60- 


"ime 
199 







/Effort Item 
200+days, etc. 







N 
(coses) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearing: 
separate 
dorys per cose 


25 

41 
41 


1 


2 
3 


1 


5 
6 




ALJ prehearing 
and hearing; 
hours per case 


76 

77 

78 

76-78 


200.0 

91.2 
109.3 


200 

8 
8 


200 

328 
328 










2 
2 





1 

1 





1 

1 


1 



1 

2 


1 


5 
6 




ALJ Travel: 
hours per case 


76 

77 

78 

76-78 


- 


- 


~ 







































Parties 


Petitioners, respon- 
dents, interveners 
(including agency): 
number per cose 


76 

77 

78 

76-78 


4.2 

5.8 
5.0 


3 

3 
3 


5 

8 
8 








5 



5 

10 




















5 



5 

10 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs): 
number per cose 


76 

77 

78 

76-78 


194.0 

100.6 
116.2 


194 

4 

4 


194 

293 
293 











1 
1 





1 
1 


1 


2 
3 





1 
1 


1 


5 
6 




Transcripts: 
pages per cose 


76 

77 

78 

76-78 


1460.0 

1641.2 
1 589.4 


6 

250 
6 


2914 

4561 
4561 









1 




1 














1 


5 
6 


2 

5 

7 




Briefs: 

pages per cose 


76 

77 

78 

76-78 


450.0 

242.3 
283.8 


450 

170 
170 


450 

330 
450 























1 
1 


1 


3 
4 


1 


4 
5 




Exhibits: 
pages per case 


76 

77 

78 

76-78 


2000.0 

6088.6 
5407.0 


2000 

2000 
2000 


2000 

12654 
12654 


























1 


5 
6 


1 


5 
6 




Contested 

motions: 
number per cose 


76 

77 

78 

76-78 


3.5 

5.7 
4.8 


2 

4 
2 


5 

8 
5 


1 




1 


1 


3 
4 




















2 

3 
5 




Written opinions 
by ALJ: 
pages per case 


76 

77 

78 

76-78 


59.0 

76.3 
72.0 


59 

68 
59 


59 

93 
93 














1 





1 




3 
3 








1 


3 

4 



Procedures — 

The prehearing stage is begun when the shipping company 
submits its application for a subsidy. If the application 
concerns service already provided by citizens of tne United 
States, a hearing must be held on the adequacy of the existing 
service and on the public interest in allowing additional 
service. Notice of the hearing is published in the Federal 



Register. An ALJ is designated and after receiving evidence 
makes an initial decision. Within 20 days aft^r the service of i 
the decision, any party may file exceptions and a. brief in 
support. The Administration may review on its own motion 
within 30 days. Oral argument is within the Administration's 
discretion. 



266 



Agency: MARITIME ADMINISTRATION, Department of Commerce 

Cose type: Merchant Marine Act 

Tentative Operating-Differential Subsidy Rates 



Case-Closed Cords Submitted— 

FY: 76 77 78 76-78 

Number: 13 4 



MANNER OF TERMINATION (number of coses) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 










































1 


3 





















76-78 








AGENCY REVIEW (number of cases) 



Review- 
Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 77 

I 







I 







78 76-78 



ELAPSED TIME DATA 


Case 
Breal<dowi 


n FY 

76 

77 

78 

76-78 


Elapsed Time (days) 
Avg Min Max 

180.0 180 180 
173.3 31 455 
175.0 31 455 


Distribution 


of Coses by Elofised Time (cases) 


N 


Stage of Case 


0-lmo 


-4mo 


4-l2mo 


l-2yr 




1 
1 


2yr+ 







(cases) 


Prehearing Date of application 
/ Referral to CALJ 


All 
Cases 










2 
2 




1 



1 



1 

3 
4 


Hearing Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


784.0 
508.0 
577.0 


784 
141 
141 


784 
711 
784 


















1 
1 




2 
2 




1 



1 




1 

3 
4 




All 

Other 

Cases 


76 

77 

78 

76-78 


~ 


- 


= 






































Posthearing ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


763.0 
505.0 
591.0 


763 
135 

135 


763 
875 
875 

















1 

1 










1 

1 

2 



1 

2 
3 




All 

Other 

Cases 


76 

77 

78 

76-78 


678.0 
678.0 


678 
678 


678 
678 























1 
1 











1 
1 


Total Time Application / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


1727.0 
1156.0 
1346.3 


1727 
310 
310 


1727 
2002 
2002 

















1 
1 










1 

1 

2 




1 

2 
3 




All 

Other 

Cases 


76 

77 

78 

76-78 


1420.0 
1420.0 


1420 
1420 


1420 
1420 




























1 
1 




1 
1 



267 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or partial hearing- 



Item 



Prehearing ALJ prehearing 



FY 



76 



Time/Effort (days, poges, etc.) 



Avg 



Min 



Max 



& Hearing and hearingi 
Time separate 

days per ctise 


77 

78 

76-78 


4.0 
3.0 
3.3 


4 
2 
2 


4 
5 
5 


ALJ prehearing 
and hearing: 
hours per case 


76 

77 

78 

76-78 


32.0 
24.0 
26.0 


32 

16 
16 


32 
40 
40 


ALJ Travel; 
hours per cose 


76 

77 

78 

76-78 


8.0 
8.0 


8 
8 


8 
8 


Parties Petitioners, respoiD- 

dents, interveners 
(irtclixling agency); 
number per case 


76 

77 

78 

76-78 


3.0 
4.0 
3.8 


3 
2 
2 


3 

6 
6 


Paperwork Evidentiary docu- 
ments (excluding 
briefs); 

number per cmse 


76 

77 

78 

76-78 


500.0 
417.5 
445.0 


500 
86 

86 


500 
749 
749 


Transcripts; 
pages per case 


76 

77 

78 

76-78 


697.0 
279.0 
383.5 


697 
125 
125 


697 
550 
697 


Briefs; 

pages per cose 


76 

77 

78 

76-78 


275.0 
150.3 
181.5 


275 
95 
95 


275 
200 
275 


Exhibits; 
pages per cose 


76 

77 

78 

76-78 


3500.0 

825.0 

1716.7 


3500 
150 
150 


3500 
1500 
3500 


Contested 

motioess 
numbeir per case 


76 
77 

78 
76-78 


1.0 
1.0 


1 

1 


1 

1 


Written opinions 
by ALJ; 
pages per cose 


76 

77 

78 

76-78 


120.0 
58.0 
73.5 


120 
47 
47 


120 
71 
120 



FY; 




76 




77 78 


76-78 


Number; 









1 3 


4 


Distribot 


on of Coses by Time/Effort Item 


0-2 3-9 


10-59 


60-199 2TO+days, etc 






















1 













2 


1 













2 


2 






































1 
















3 
















4 













































1 
















1 

































1 













1 


2 













1 


2 












































1 













1 


1 













1 


2 

































1 













2 


1 













2 


2 

































1 













2 


1 













2 


2 

































1 













1 


1 













1 


2 




































1 
















I 












































1 













2 


1 













2 


2 






N 
(coses) 



Procedures— 

The prehearing stage is begun when the shipping company 
submits its application for a subsidy. Notice of the hearing is 
published in the Federal Register. An ALJ is designated and 
after receiving evidence moRes an Initial decision. Within 20 
days after the service of the decision, any party may file 
exceptions and a brief in support. The Administration may 
review on its own motion within 30 days. Oral argument Is 
within the Administration's discretion. 



268 



Agency: MARITIME ADMINISTRATION, Department of Commerce 

Cose type: Merchant Marine Act 

Applications for Foreign Trade Subsidy 



Case-Closed Cords Submitted— 

FY: 76 77 78 76-78 

Number: 2 3 5 



MANNER OF TERMINATION (number of coses) 

Not on Merits- 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 












2 




















3 

































76-78 


2 

3 



AGENCY REVIEW (number of coses) 

Review- 76 77 78 76-78 


5 



Yes: 
No: 



2 



3 






Result- 








Affirm 
Reverse 
Modify 
Remand/Other 





















ELAPSFD TIME DATA 
Stage of Case 


Cose 
Breakdown FY 


Elapsed Time (days) 
Avg Min Mfix 


Distribution 
O-lmo 


of Coses by Elapsed Time (coses) 
-4mo 4-l2mo l-2yr 2yr+ 


N 
(coses) 


Prehearing Date of application 
/ Referral to CALJ 


All 
Cases 


76 

77 

78 

76-78 


135.5 
74.0 

98.6 


62 
62 

62 


209 
90 

209 








1 

3 

4 


1 




1 














2 
3 


5 


Hearing Referral to CALJ / 
ALJ's decision 


With AU 76 

Hearing on 77 

Merits 78 

76-78 


- 


- 


: 









































All 

Other 

Cases 


76 

77 

78 

76-78 


60.0 
215.0 

I53"0 


49 
17 

17 


71 
454 

454 




1 



1 


2 


2 




1 



1 




1 



1 








2 
3 

5 


Posthearing ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


- 


- 


- 









































All 

Other 

Cases 


76 

77 

78 

76-78 




















2 
3 

5 


























2 
3 

5 


Total Time Application / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


- 


- 


- 









































All 

Other 

Coses 


76 

77 

78 

76-78 


195.5 
289.0 

251.6 


133 

79 

79 


258 

544 

544 










1 



1 


2 

1 


3 




1 



1 








2 
3 

5 



269 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



FY 



Prehearing 


ALJ prehearing 


76 


& Hearing 


and hearing: 


77 


Time 


separate 


78 




days per cose 


76-78 




ALJ prehearing 


76 




ar>d hearing; 


77 




hours per cose 


78 
76-78 




ALJ Travel: 


76 




hours per cose 


77 

78 

76-78 



Parties 



Paperwork 



PetitionerSs, respon- 76 

dents, interveners 77 

(including agency): 78 

number per cose 76-78 

Evidentiary docu- 76 

ments (excluding 77 

briefs): 78 

number f>er case 76-78 



Transcripts: 
pages per cose 



Briefs: 

pages per case 



Exhibits: 
poges per cose 



Contested 
motions: 
number per case 



Written opinions 
by ALJ: 
pages p^' case 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Cases with full or partial hearing— 

FY: 76 77 78 76-78 

Number: 



Time/Effort (days, pages, etc.) 



Avg 



Min 



Max 



3.0 
3.0 



Distribution of Cases by 


Time 


/Effort Item 


N 


0-2 


3-9 


10-59 60-199 


20OKlays, etc. 


(cases) 





















































d 







































































































































































2 











2 









































2 











2 



















































































































































































































































































































































































































































Procedures — 

The prehearing stage is begun when the shipping company 
submits its application for a subsidy. Notice of the hearing is 
published in the Federal Register. An ALJ is designated and 
after receiving evidence mai<es an initial decision. Within 20 
days after the service of the decision, any party may file 
exceptions and a brief in support. The Administration may 
review on its own motion within 30 days. Oral argument is 
within the Administration's discretion. 



270 



Agency: MARITIME ADMINISTRATION, Department of Commerce 

Case type: Merchant Marine Act 
Contract Appeals 



Case-Closed Cords Submitted— 

FY: 76 77 78 76-78 

Number: 3 3 2 8 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 






























2 


2 


4 














3 


1 





4 



























AGENCY REVIEW (number of coses) 

Review— 76 77 78 76-78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



I 



ELAPSED TIME DATA 
Stage of Case 

Prehearing 
Hearing 



Post hearing 



Total Time 



Cose 




Elapsed Time (days) 


Distribution of Coses by Elapsed Time (cases) 


N 


Breakdowi 


1 FY 
76 


Avg 

442.7 


Min 

209 


Max 

901 


0-lmo 


l-4mo 


4-l2mo 


l-2yr 




2yr+ 

1 


(coses) 


All 








2 


3 


Cases 


77 


324.0 


67 


649 





1 


1 


1 





3 




78 


1634.5 


746 


2523 














2 


2 




76-78 


696.1 


67 


2523 





1 


3 


1 


3 


8 


With ALJ 


76 


805.7 


692 


868 











1 


2 


3 


Hearing on 77 


2828.0 


2828 


2828 














1 


1 


Merits 


78 


_ 




























76-78 


I3II.3 


692 


2828 











1 


3 


4 


All 


76 





























Other 


77 


164.5 


23 


306 


1 





1 








2 


Cases 


78 


531.0 


531 


531 











2 





2 




76-78 


347.8 


23 


531 


! 





1 


2 





4 


With 


76 


236.3 


133 


331 








3 








3 


Agency 


77 


109.5 





219 


1 





1 








2 


Review 


78 


16.0 


16 


16 


1 














1 




76-78 


157.3 





331 


2 





4 








6 


All 


76 





























Other 


77 


19.0 


19 


19 


1 














1 


Coses 


78 


16.0 


16 


16 


1 














1 




76-78 


17.5 


16 


19 


2 














2 


With 


76 


1484.7 


1043 


2003 














3 


3 


Agency 


77 


2129.0 


1174 


3084 














2 


2 


Review 


78 


1293.0 


1293 


1293 














1 


1 




76-78 


1667.5 


1043 


3084 














6 


6 


All 


76 





__ 























Other 


77 


109.0 


109 


109 





1 











1 


Coses 


78 


3070.0 


3070 


3070 














1 


1 




76-78 


1589.5 


109 


3070 





1 








1 


2 



271 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or partial hearing — 

FY: 76 77 78 76-78 

Number: 3 10 4 



Time/Effort (days, pages, etc.) Distribution of Cases by Time/Effort Item 



N 





Item 


FY 

76 

77 

78 

76-78 


Avg 

1.3 
3.0 

I.B 


Min 

1 
3 

1 


Max 


0-2 

3 


3 


3-9 



1 



1 


10-59 


60-199 







200+days, etc. 







(cases) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 

and hearing; 
separate 
days per cose 


2 

3 

1 








3- 

1 


4 




ALJ prehearing 
and hearing; 
hours per case 


76 

77 

78 

76-78 


10,7 
21.0 

13,3 


8 
2! 

8 


16 
21 

21 








2 



2 


1 
1 


2 














3 

1 


4 




ALJ Travels 
hours per cose 


76 

77 

78 

76-78 
















1 


1 



























1 


1 


Parties 


Petitioners, respon- 
dents, interveners 
(including agency); 
numjjer per cose 


76 

77 

78 

76-78 


2.7 
3.0 

2.8 


2 

3 

2 


3 
3 

1 


1 




1 


2 
1 


3 





















3 

1 


4 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs); 
number per cose 


76 

77 

78 

76-78 


30.0 
30'0 


4 
4 


73 
73 








1 




1 


1 




1 


1 




1 








3 


3 




Transcripts; 
pages per case 


76 

77 

78 

76-78 


276.7 
860.0 

422.5 


164 
860 

164 


485 
860 

860 




















2 


2 


1 

1 


2 


3 

1 


4 




Briefs; 

pages per cose 


76 

77 

78 

76-78 


83,0 
221,0 

117.5 


24 
221 

24 


132 
221 

221 














1 




1 


2 


2 




1 



1 


3 
J 


4 




Exhibits: 
pages per cose 


76 

77 
78 

7^78 


499.0 
499.0 


98 
98 


900 
900 




















1 




1 


1 




1 


2 


2 




Contested 

motions; 
numbeir per cose 


76 

77 

78 

76-78 


3.0 
10.0 

6.5 


3 
10 

3 


3 
10 

10 








1 




1 




1 



1 














1 
1 


2 




Written opinions 

by ALJ; 
pages per cose 


76 

77 

78 

76-78 


24.0 
43,0 

28.8 


19 
43 

19 


29 
43 

43 















3 

1 



4 














3 

1 


4 



Proce<fcires — 

If the contract contains a disputes clause, any appeal will 
be covered by the terms of the clause. If the contract does 
not contain a disputes clause, a contractor who disagrees with 
the findings, interpretations, or decisions in connection with 
audit reports of the Maritime Administration and who fails to 
settle said differences by negotiation with the appropriate 
Coast Director's office, may submit an appeal from such 
findings, interpretations, or decisions. 

Appeals shall be made in writing to the Maritime 
Administrator within 6 months following the date of the 



document notifying the contractor of the audit findings, 
interpretations, or decisions of the appropriate Coast 
Director's office. However, the Maritime Aamlnlstrator may, 
at his discretion, extend this limitation in the case of 
extenuating circumstances. 

The appellant will be notified, in writing, if a hearing is to 
be held or if additional facts are to be submitted for 
consideration in connection with the appeal. After a decision 
has been rendered by the Maritime Administrator, the 
appellant will be notified accordingly, in writing. 



272 



NATIONAL LABOR RELATIONS BOARD 



Unfair Labor Practice Coses 

Proceedings instituted by the General Counsel by 
Issuance of a complaint pursuant to Section 10(b) of the 
NLRA, 29 U.S.C. 160(b), alleging violations of Section 8 
of that Act, with formal evidentiary hearing by an ALJ 
and final decision by the Board. (Rules of Practice: 29 
C.F.R. 101, 102) 

Procedures 

The proceeding is begun by the filing of an unfair 
labor practice charge by "any person" (generally an 
employee, union or employer). The charge is 
investigated by the appropriate Regional Office. Upon 
completion of the investigation, the Regional Director 
(RD) determines whether the charge is meritorious. If 
the charge is deemed not meritorious, the RD 
recommends that the complainant withdraw the 
charge. If the charging party does not withdraw, the 
RD dismisses the charge. A dismissed charge may be 
appealed, within 10 days, to the General Counsel in 
Washington who may reverse or sustain the RD's 
dismissal. If the charge is deemed meritorious by the 
RD rnitiolly, or if the General Counsel reverses an RD's 
dismissal, the RD then attempts to achieve a settlement 
before issuing a complaint. Such a settlement is known 
as an "informal settlement" and is, in effect, a promise 
by the respondent that he will not repeat or continue 
the practice complained of. It involves a written 
agreement between the respondent, the RD and (usually) 
the complainant, although such an agreement may at 
times be entered into without the complainant, who may 
appeal such a "unilateral settlement agreement" to the 
General Counsel as if the RD had dismissed the charge. 

Other meritorious charges are sometimes withdrawn 
on the complainant's own initiative due to a change in 
circumstances or due to an agreement between the 
complainant and the respondent without the RD's 
involvement. Informal settlements and withdrawals of 
meritorious charges are grouped into a category called 
"adjustments" for statistical purposes. Although most 
adjustments occur prior to the issuance of a complaint, 
they may also occur afterwards. 

Complaints which are not settled ore assigned to 
administrative low judges for hearing. The possibility of 
on adjustment remains, although once the complaint has 
issued, the agency favors a "formal settlement 
agreement" which is subject to the approval of the 
Board in Washington. If the formal settlement is agreed 
to by the RD and the respondent, but over the 



objections of the complainant (after issuance of the 
complaint), the settlement must first be approved by 
the General Counsel and then finally approved by the 
Board. If all parties agree, the Board must still give its 
final approval. Formal settlement agreements normally 
contain the specific terms of on agreed-upon Board 
order, and may also provide for the entry of a consent 
court decree enforcing that order. (Such a decree 
makes any violation of the agreement contemptuous of 
court.) 

If the case does proceed to a hearing, the hearing is 
presided over by an ALJ who makes a decision on the 
merits— either to recommend dismissal of the complaint 
or to sustain the complaint in whole or in port with a 
recommended cease and desist decree and remedial 
order. If no exceptions are filed, the Board will adopt 
the ALJ's decision. If timely exceptions are filed, the 
Board must review the case. 

Review Procedures 

When the ALJ's decision is released, the parties ore 
given 23 days to file briefs and/or exceptions. If 
exceptions are filed, cross exceptions and a brief in 
support of the cross-exceptions and/or a brief answering 
the exceptions may be filed within a further period of 
13 days. Finally a brief in opposition to the cross- 
exceptions may be filed within another 13 days. 

The five-member Board has divided itself into five 
panels. Only coses involving questions of policy or 
which present novel or unusual issues of law are 
considered by the full Board. The number of coses 
considered by the full Board dropped from 135 in FY 
1976 (plus the transition quarter) to 81 in FY 1977 to 62 
in FY 1 978. 

The decisionmaking at the Board level is divided 
into "stages." Stage I is analysis and research; Stage 11 
is drafting of a decision; Stage 111 is circulation for 
Board Member's approval. And the final stages, 
unnumbered, ore editing, reproduction and issuance. 

Stage I (Analysis and Research): The cases to be 
reviewed are assigned to on individual Board Member 
who assigns the task of reviewing the record to an 
attorney (a "counsel") in his office. The counsel reports 
to his or her supervisor as to the issues and the facts as 



This description of the Board's review procedures 
is based on "Deciding Cases at the NLRB," a paper 
presented before the Chairman's Task Force on the 
NLRB, January 6, 1976. 



273 



reflected in the record, and with his supervisor, 
prepares the case for submission to a sub-panel 
composed of more experienced counsel to the Members 
assigned to the panel that is to consider the case. In 
infrequent cases, where the Issues appear completely 
routine, the subpanel is bypassed and the case is 
presented directly to the panel in the form of a draft 
opinion and order (called a "draft-in-lieu"). But in cases 
that appear to have substantial issues, the case is 
presented to the subpanel for discussion. The subpanel 
may arrive at a tentative decision or it may decide to 
present the case to the panel or, in rare cases, directly 
to the full Board by means of a memorandum covering 
issues which cannot be readily resolved. The stage ends 
when the subpanel acts (or when the "draft-in-lieu" is 
prepared). 

Stage II (Drafting)i The drafting process has 
already begun during Stage I. The proposed draft has 
risen through the supervisory hierarchy of the 
originating Member's staff, which is charged with 
ensuring that the draft comports with the tentative 
decision teached by the subpanel or panel. The stage is 
complete when the originating Member approves the 
draft for circulation to the other two panel Members, 
Courtesy copies are also sent to the remaining two 
Members for "clearance" so that they may request full 
Board consideration. 



Stage III (Circulation): The other panel Members 
assign the circulating draft to a counsel who specializes 
in screening such drafts. If after discussions with the 
"screener," the Member has questions or suggestions, 
these are taken up with the originating staff. It may be 
necessary to reschedule the case for further panel (or 
full Board) discussion. If a majority of the panel (or 
Board) has approved the draft, and a Member wishes to 
dissent, that may be done. When all the various 
Members have completed their review of the drafts, the 
copies are returned to the originally-assigned counsel 
who is responsible for clearing all changes with all 
participating Members. It is then edited and submitted 
to the Executive Secretary's office where it Is 
reproduced and released. 

Cases Considered by the Full Board: Cases may 
reach the full Board directly from the sub-panel or 
panel, or by being called there by any Board Member at 
any stage. 

Stages II and 111 take twice as much time, on the 
average, In those cases considered by the full Board. 
The cases are considered at regularly scheduled 
meetings of the Board, but are sometimes put over to an 
additional meeting. After a decision Is reached, the 
draft Is prepared by counsel, approved by the originating 
Member, and circulated to all Members. 



274 



National Labor Relations Board 



STATISTICS FOR UNFAIR LABOR PRACTICE CASES 



MANNER OF TERMINATION 



I976&TQ 



1977 



1978 



A) Cases closed prior to issuance of complaint 

Adjustments (including informal settlements) 

Withdrawals of non-meritorious charges 

Dismissals by Regional Director 

lOK cases (jurisdictional disputes not decided by ALJs) 



B) Cases closed after issuance of complaint 

1) Adjustments 

Before opening of hearing 
After hearing opened 

2) Formal settlement (Board supervises) 
Before opening of hearing 

After hearing opened 

3) Withdrawal of charges 
Before opening of hearing 

After hearing opened, before ALJ decision 
After hearing opened, before Board decision 
After Board or court decision 

4) Dismissal of charges 
Before opening of hearing 

After hearing opened, before ALJ decision 

By ALJ dismissal (not ruled upon by Board) 

By Board dismissal (ALJ's dismissal adopted, no exceptions filed) 

By Board dismissal (in contested cases) 

By Court of Appeals 

By Supreme Court action 

5) Compliance with 

ALJ's decision (not ruled upon by Board) 

Board decision (ALJ's decision adopted, no exceptions filed) 

Board decision (in contested cases) 

Court of Appeals decree 

Supreme Court action 

6) Otherwise (firm went out of business) 



36,020 


32,196 


32,111 


6,776 


6,200 


6,143 


14,267 


12,202 


11,967 


14,434 


13,337 


13,646 


543 


457 


355 


4,589 


5,406 


5,081 


2,345 


2,721 


2,917 


2,216 


2,512 


2,757 


129 


209 


160 


214 


250 


172 


164 


165 


36, 


50 


85 


76 


319 


579 


424 


294 


51! 


406 


7 


49 


5 


5 


4 


4 


13 


15 


9 


352 


594 


479 


37 


119 


120 





20 


5 


3 


15 


1 


97 


117 


122 


194 


236 


190 


20 

1 


78 
9 


40 
1 


1,345 


1,258 


1,063 


10 


9 


7 


190 


169 


199 


(,(,S 


607 


517 


445 


385 


326 


31 


88 


14 


14 


4 


26 



Data for closed cases derived from 1976 Annual Report of NLRB, p. 222; 1977 Annual Report, pp. 234, 282; and 
1 978 Annual Report, p. 254.) 

These figures are derived similarly to case closing figures for other agencies in our reporting system, 
although the Board does not consider some coses closed until Federal court action is final. The FY 1975 figure is 3,469. 



National Labor ReMioins Boorci 



II, MEDIAN ELAPSED TIME OF STAGES OF ULP CASES (Days) 



275 



1976 



TQ 



1977 



1978 



Informal dispositions — prior to issuance of complaint 

Filing of charge / closing (all informal dispositions) 

Filing / adjustment 

Filing / withdrawal 

Filing / dismissal (not appealed to General Counsel) 

Filing / dismissal (affirmed by General Counsel) 



44 


39 


41 


40 


40 


34 


34 


34 


23 


26 


26 


26 


54 


51 


50 


49 


82 


73 


73 


77 



Formal dispositions 



Filing / issuance of complaint 
Complaint / close of hearings 
Close of hearing / ALJ decision 
ALJ decision / Board decision 



55 


51 


48 


47 


75 


78 


90 


116 


89 


94 


113 


140 


120 


112 


134 


128 



C) Total Elapsed Times (Filirvg / Board decision for 
contested coses) 



358 



374 



396 



429 



D) Avert^e length of heorirtg 



2.44 



2.29 



2.22 



2.38 



Derived from data provided in a letter from John H. Fanning, NLRB Chairman, and John 5. Irving, NLRB General 
Counsel, to Jeffrey Lubbers (ACUS) on October 9, 1 979. 



Ranges of monthly median elapsed time (in days) 

for various stages of Board's review process: 1 976 & TQ 

ALJ decision / assignment of case to Board Member (all cases) 39-43 



1977 



35-39 



1978 



35-41 



Intermediate Stages for all cases: 

Stage I (through action of subpanel) 
Stage II (drafts of decision) 
Stage III (circulation of drafts) 
Mechanics of issuance of official opinion 



23-30 


23-28 


23-25 


18-24 


21 -27 


20-43 


16-27 


22-32 


11-28 


8- 14 


8- 10 


2- 12 



Total Elapsed Time: Assignment / Board decision (all cases) 80 - 94 

Total Elapsed Time: Assignment / Board decision 

(only cases going to full Board) 1 56 - 283 



77- 108 



231 -571 



66- 105 



239 - 722 



276 



National Labor Relations Board 



III. ACTIVITY AT THE ALJ LEVEL 

A) Cases pending at beginning of FY 

Hearing not begun 
Awaiting decision 
Other ** 

B) Coses assigned a hearing date 

C) Hearings closed 

D) Judges' decisions issued 

E) Coses pending at end of FY 

Hearing not begun 
Awaiting decision 
Other** 

F) Average number of pages of transcript for 

cases where ALJs mode decisions 

G) Number of ALJs at end of year or quarter 



1976 



TQ 



1977 



1978 



399 


1399 


1659 


2044 


69 \ 


933 


1077 


1291 


228 


364 


440 


533 


80 


102 


142 


220 


4017 


1168 


4902 


5378 


1266 


333 


1402 


1258 


1112 


240 


1239 


1197 


1399 


1659 


2044 


2642 


933 


1077 


1291 


1793 


364 


440 


533 


540 


102 


142 


220 


309 


389 


359 


348 


388 


92 


87 


92 


96 



IV, REVIEW BY THE BOARD 



A) Numb^" of ALJ decisions received by thie Board 

B) Exceptions filed 

C) Board Action: 

Complete adoption of ALJ finding 
Agreement, with minor modification 
Partial reversal of ALJ 
More substantial reversal 
Complete reversal of ALJ 
Number considered by full Board 
Number of oral arguments 



I976&TQ 


1977 


1978 


1,364 


1,245 


1,211 


954 


897 


835 


499 


558 


670 


106 


89 


52 


112 


80 


51 


40 


21 


12 


61 


69 


62 


135 


81 


62 


3 


2 


1 



Data provided in a letter from John H. Fanning, NLRB Chairman, and John S. Irving, NLRB General Counsel, to 
Jeffrey Lubbers (ACUS) on October 9, 1979. 

Includes coses at trial and in an indefinite status. 

In providing information regarding the number of ALJ decisions received by the Board and the number of 
exceptions filed, it should be noted that the number of exceptions filed in any given fiscal year may not be in 
connection with ALJ decisions received In that year. This is due to the fact that exceptions filed (and counted) during 
one fiscal year may be with respect to a case received by the Board during the preceding fiscal year. Accordingly, 
there cannot be any exact correlation between decisions received and exceptions filed. However, comparing coses 
received with exceptions filed over a period of several fiscal years should provide a reasonably occurote idea of the 
acceptance by parties of ALJ decisions. 



277 



NATIONAL TRANSPORTATION SAFETY BOARD 



ANNUAL CASELOAD INVENTORY 

Fiscal Years I97&-I978 

(and FY 1 975 from previous publication) 



Case Type 



Cases New Cases Coses Cases 

Pending at Referred to Terminated Pending at 
FY Start of FY Off ice of ALJs by Agency End of FY 



Federal Aviation Act 
Safety and Medical Enforcement 

49 use 1422, 1429 
49CFR82I 

Proceedings In which (I) an applicant for an airman 
certificate may challenge a denial of his application or (2) a 
holder of an airman certificate (or any other certificate issued 
by the FAA Administrator) may challenge the Administrator's 
amendment, modification, suspension, or revocation of such 
certificate. 



(75) 



577 



665 



76 


362° 


778 


831 


309 


77 


309 


562 


597 


274 


78 


274 


568 


586 


256 



76-78 



1908 



2014 



° This number was reported by NTSB as 344 which was inconsistent with the final pending number (309). The final pending 
number was subsequently confirmed by NTSB as correct after manual accounting. 



278 



Agency: NATIONAL TRANSPORTATION SAFETY BOARD 

Case type: Federal Aviation Act (section 609) 
Safety Enforcement 



Case-Closed Cards Submitted— ° 

FY: 76 77 78 76-78 

Number: 415 325 290 1030 



MANNER OF TERMINATION (number of coses) ^ 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



65 


64 


39 


168 


87 


26 


20 


133 


li 


40 


51 


102 


8 


2 


3 


13 


239 


189 


174 


602 


3 


2 


2 


7 


2 


2 


1 


S 



AGENCY REVIEW (number of coses) 
Review— 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



107 
308 



60 

7 

14 

26 



102 
223 



72 
218 



58 41 

2 5 

16 12 

26 14 



7&-78 

281 
749 



159 
14 
42 
66 



ELAPSED TIME DATA 





>e 

Receipt of 


Cose 
Breakdow 


n FY 
76 


Elapsed 


lime 


Idoys) 


Distribution of Ca 
0-lmo !-4mo 


ses by Elq 
'l-l2mo 


psed Tir 
l-2yr 

1 


ne (cases) 
2yr+ 




N 


Stage of Cas 


Avg 

5.6 


Min 




Max 

730 


(coses) 


Prehearing 


All 


399 


8 


3 


411 




airman's letter / 


Cases 


77 


.7 





205 


322 





1 








323 




Referral to CALJ 




78 


2.0 





300 


284 


5 


1 








290 








76-78 


3.1 





730 


1005 


13 


5 


1 





1024 


Hearing 


Referral toCALJ / 


With ALJ 


76 


163.0 


5 


1033 


19 


101 


104 


16 


2 


242 




ALJ's decision 


Hearing on 77 


151.0 


10 


568 


10 


88 


84 


9 





191 






Merits 


78 


126.8 


4 


541 


19 


87 


69 


1 





176 








76-78 


148.8 


4 


1033 


48 


276 


257 


26 


2 


609 






All 


76 


147.9 


II 


886 


16 


90 


54 


12 


1 


173 






Other 


77 


IIO.I 


9 


496 


17 


69 


47 


1 





134 






Coses 


78 


lOI.O 


4 


408 


18 


57 


38 


1 





114 








76-78 


123.2 


4 


886 


51 


216 


139 


14 


1 


421 


Post hearing 


ALJ's decision / 


With 


76 


155.6 


37 


471 





35 


70 


2 





107 




Final agency 


Agency 


77 


159.1 


14 


328 


1 


30 


71 








102 




action 


Review 


78 


147.8 


46 


364 





24 


48 








72 








76-78 


154.9 


14 


47! 


1 


89 


189 


2 





281 






All 


76 


.6 





133 


306 


1 


1 








308 






Other 


77 


.7 





165 


222 





1 








223 






Coses 


78 


2.6 





365 


216 





2 








218 








76-78 


1.2 





365 


744 


1 


4 








749 


Total Time 


Reciept of 


With 


76 


343.9 


54 


1220 





7 


59 


33 


5 


104 




airman's letter / 


Agency 


77 


319.6 


49 


750 





7 


63 


28 


3 


101 




Final agency 


Review 


78 


286.5 


66 


482 





3 


51 


18 





72 




action 




76-78 


320.1 


49 


1220 





17 


173 


79 


8 


277 






All 


76 


154.1 


II 


886 


24 


144 


116 


21 


2 


307 






Other 


77 


124.9 


9 


496 


20 


112 


85 


5 





222 






Coses 


78 


114.6 


4 


541 


30 


III 


73 


4 





218 








76-78 


133.9 


4 


886 


74 


367 


274 


30 


2 


747 



Notes— 

° For the sake of this analysis, NTSB cases were separated 
into safety and medical enforcement coses. 

Settlements: Where the parties reach a settlement or 
the FAA decides to grant an exemption (pursuant to 49 USC 
1421(c)) while the airman's appeal is pending before the 

Board. 

Withdrawals: Where the airman withdraws his appeal or 
the FAA withdraws its order of suspension or revocation. 



Dismissals: Where the ALJ grants the airman's motion to 
dismiss the complaint, or the FAA's motion to dismiss the 
appeal. Such an order is appealable. 

Other: Includes cases where the Chief ALJ determines 
that the airman has abandoned his appeal, cases where the 
airman dies during the pendency of the case, or cases that 
were mistakenly accepted for hearing. 



279 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing — 















FY: 


76 


77 78 


76-78 
















Number: 


261 200 187 


648 






Item 


FY 


Time/Effort (days, pages, etc.) 
Avg Min Max 


Distribution of Coses by Time/Effort Item 
0-2 3-9 10-59 60-199 200+days, etc. 


N 
(cases) 


Prehearing 
& Heoring 
Time 


ALJ prehearing 

and hearing! 
separate 
days per cose 


76 
77 
78 

76-78 


I.I 
1.2 
1.1 
I.I 


1 
1 

1 

1 


3 

6 
4 
6 


238 
186 
176 
600 


5 

5 

5 

15 




















243 
191 
181 
615 




ALJ prehearing 
and hearings 
hours per cose 


76 

77 

78 

76-78 


5.5 
5.8 
5.3 
5.5 


1 
1 

1 
1 


24 
48 
30 
48 


34 

38 

39 

III 


178 
131 
125 
434 


19 
20 
18 
57 














231 
189 
182 
602 




ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 


4.3 
4.2 
5.9 
4.7 


1 


1 



16 
16 
72 
72 


58 

33 

30 

121 


171 
156 
135 
462 


7 

4 

16 

27 





1 
1 








236 
193 
182 
611 


Parties 


PetitionerSp respoin- 
dents, intervenors 
(including agency): 
number per cose 


76 

77 

78 

76-78 


2.1 
2.0 
2.5 
2.2 


1 



1 




5 
3 

72 
72 


220 
182 
173 
575 


15 
9 
8 

32 





1 
1 





1 
1 








235 
191 
183 
609 


Paperwoirk 


Evid«itiary dooui- 
ments (excluding 

briefs): 
number per cose 


76 

77 

78 

76-78 


5.3 

6.9 

10.7 

7.3 








28 

66 

510 

510 


79 

53 

50 

182 


94 

78 

69 

241 


40 
36 
22 
98 




1 

2 
3 





1 

1 


213 
168 
144 
525 




Transcripts: 

pages per cose 


76 

77 

78 

76-78 


116.9 
109.9 
115.9 
114.5 


3 

3 



526 
1019 
1043 
1043 




1 


1 


14 
18 
19 

51 


47 
40 
46 
133 


120 
83 
84 

287 


32 
24 
30 
86 


213 
166 
179 
558 




Briefs: 

pages per case 


76 

77 

78 

76-78 


3.0 
6.1 
7.6 
4.3 








42 
60 
39 
60 


73 

26 

II 

110 


4 
1 
2 

7 


10 
4 
6 

20 




1 


1 








87 

32 

19 

138 




Exhibits: 
pages per cose 


76 

77 

78 

76-78 


23.5 
24.4 
21.3 
23.1 








463 
211 
296 
463 


51 
26 
32 
109 


63 
40 
36 
139 


56 

57 

62 

175 


15 
15 
II 
41 


4 

1 
1 
6 


189 
139 
142 
470 




Contested 
motions: 
number per cose 


76 

77 

78 

76-78 


.8 
1.0 
1.0 

.9 








9 

7 
7 
9 


192 
141 
102 
435 


19 
18 
17 
54 




















211 
159 
119 
489 




Written opinions 
by ALJ: 
pages per cose 


76 

77 

78 

76-78 


3,8 
8.3 
13.2 
5,7 




4 



34 
26 
35 
35 


105 

14 



119 


II 

6 

7 

24 


29 
19 
15 
63 















145 
39 
22 

206 



Procetfejres — 

After an Investigation by the Federal Aviation 
Administrator, the Administrator may issue an order 
modifying, suspending or revoking an airman's certificate. 
The airman has 60 days after service to file an appeal with 
the NTSB. 

The prehearing stage is initiated by the filing of such a 
petition. Ordinarily the case is referred to the CALJ's office 
the same day, Tne Administrator then formally files the 
complaint with the Board within 5 days. The airman has 20 



days from service to file his answer. " 

The ALJ conducts the hearing 
decision either in writing or orally, 
decision is immediately excerpted 

Parties may file a notice of appeal within 10 days or the 
Board may review on its own motion within 20 days. Cases 
that are not reviewed generally do not reflect this time in the 
posthearing stage. 



and makes the initial 
(If oral, a copy of the 
from the transcript.) 



280 



Agency: NATIONAL TRANSPORTATION SAFETY BOARD 

Case type: Federal Aviation Act (section 602) 
Medical Enforcement 



Case-Closed Cards Submitted— ° 

FY: 76 77 78 76-78 

Number: 400 276 285 961 



MANNER OF TERMINATION (number of coses) ^ 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 

On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



92 


35 


22 


149 


06 


55 


77 


238 


77 


85 


116 


278 


30 


18 


5 


53 


9k 


81 


64 


239 














1 


2 


1 


4 



AGENCY REVIEW (number of cases) 



Review- 


76 


77 


78 


76-78 


Yes: 
No: 


22 

378 


28 
248 


21 
264 


71 
890 


Result- 










Affirm 
Reverse 
AAodify 
Remand/Other 


18 
2 

2 


12 
2 
1 

13 


12 
5 

4 


42 
9 
1 

19 



ELAPSED TIME DATA 





e 
Receipt of 


Case 
Breakdowi 


n FY 
76 


Elapsed 


Time 


(days) 


Distribution of Ca 


ses by Ela 


psed Tir 


ne (cases 


) N 


Stage of Cos 


Avg 

4.5 


Min 



Max 

365 


O-lmo 


l-4mo 


4-l2mo 


l-2yr 




2yr+ 




(cases) 


Prehearing 


All 


389 


6 


4 


399 




airman's letter / 


Cases 


77 


5.4 





738 


270 


1 


2 





1 


274 




Referral to CALJ 




78 


1.2 





338 


282 





1 








283 








76-78 


3.8 





738 


941 


7 


7 





1 


956 


Hearing 


Referral toCALJ / 


With ALJ 


76 


311.8 


91 


756 





II 


54 


26 


3 


94 




ALJ's decision 


Hearing on 77 


284.5 


43 


1702 





12 


50 


16 


3 


81 






Merits* 


78 


222.1 


25 


945 


1 


14 


40 


8 


1 


64 








76-78 


278.5 


25 


1702 


1 


37 


144 


50 


7 


239 






All 


76 


235.0 


19 


1222 


9 


105 


131 


55 


6 


306 






Other 


77 


221.2 


10 


1078 


6 


38 


128 


21 


2 


195 






Cases •= 


78 


161.1 


19 


712 


8 


100 


99 


14 





221 








76-78 


208.7 


10 


1222 


23 


243 


258 


90 


8 


722 


Posthearing 


ALJ's decision / 


With 


76 


146.3 


57 


210 





7 


15 








22 




Final agency 


Agency 


77 


141. 1 


69 


210 





9 


19 








28 




action 


Review 


78 


144.4 


2 


249 


1 


6 


14 








21 








76-78 


143.7 


2 


249 


1 


22 


48 








71 






All 


76 











378 














378 






Other 


77 


.8 





187 


247 





1 








248 






Cases 


78 


.4 





91 


263 


1 











264 








76-78 


.3 





187 


888 


1 


1 








890 


Total Time 


Receipt of 


With 


76 


453.9 


211 


912 








9 


9 


3 


21 




airman's letter / 


Agency 


77 


471.6 


153 


1807 








12 


12 


4 


28 




Final agency 


Review 


78 


461.2 


209 


1170 








7 


II 


1 


19 




action 




76-78 


463.2 


153 


1807 








28 


32 


8 


68 






All 


76 


253.6 


21 


1222 


8 


111 


172 


79 


8 


378 






Other 


77 


237.9 


10 


1078 


5 


43 


161 


33 


4 


246 






Cases 


78 


166.8 


19 


712 


8 


III 


127 


18 





264 








76-78 


223.5 


10 


1222 


21 


265 


460 


130 


12 


888 



Notes — 

° For the sake of this analysis, NTSB cases were separated 
into safety and medical enforcement cases. 

Settlements: Where the parties reach a settlement or 
the FAA decides to grant an exemption (pursuant to 49 USC 
1421(c)) while the airman's appeal is pending before the 
Board. 

Withdrawals: Where the airman withdraws his appeal or 
the FAA withdraws its order of suspension or revocation. 

Dismissals: Where the ALJ grants the airman's motion to 
dismiss the complaint, or the FAA's motion to dismiss the 
appeal. Such an order is appealable. 



Other: Includes cases where the Chief ALJ determines 
that the airman has abandoned his appeal, cases where the 
airman dies during the pendency of the case, or cases that 
were mistakenly accepted for hearing. 

^ A contributing factor to the relatively lengthy hearing 
stage is the practice of the NTSB's ALJs of delaying the 
hearing until the airman's pending waiver petition to the 
FAA, if any, is acted upon by the FAA. Such petitions are 
frequent, but are rarely granted, and the hearings are delayed 
for months. Notice the shorter elapsed time in the NTSB's 
Safety Enforcement cases in which there is no such practice. 



281 



TIME AIMD EFFORT-AT THE HEARING STAGE 



Time/Effort (days, pages, etc.) 



Coses with full or partial hearing — 

FY: 76 77 78 76-78 

Number: 104 86 71 261 

Distribution of Cases by Time/Effort Item 



N 





Item 


FY 

76 

77 

78 

76-78 


Avg 

1.0 
1.0 
1.0 

1.1 


iVlin 

1 


1 



Max 


0-2 

94 

81 

6^ 

244 


3-9 



1 
1 
2 


10-59 


60-199 







200+days, etc. 







Ceases) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and bearing: 
separate 
days per case 


2 
3 
3 
3 








• 


94 
■ 82 

70 
246 




ALJ prehearing 
and hearing: 
hours peir cose 


76 

77 

78 

76-78 


4.0 
4.4 
4.5 
4.3 


1 



1 




12 
16 
20 
20 


30 
15 
19 
64 


63 

65 

46 

174 


1 

2 
6 
9 














94 

82 

71 

247 




ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 


3.6 
4.5 
4.4 
4.1 


1 
1 
1 
1 


14 
48 
12 
48 


28 
14 
15 
57 


66 
65 
52 
183 


1 
1 

3 
5 














95 

80 

70 

245 


Parties 


Petitiwiers, respon- 
dents, intervenors 

(including ogency): 
number per cose 


76 

77 

78 

76-78 


2.0 
2.0 
2.0 
2.0 


2 

1 

2 
1 


3 
2 
3 
3 


89 

81 

69 

239 


1 


1 
2 




















90 

81 

70 

241 


Paperwork 


Eviden-fiory dooui- 
ments (excluding 
briefs): 
number per cose 


76 

77 

78 

76-78 


2.5 
3.1 
10.8 
4.8 








12 

17 

176 

176 


58 

41 

33 

132 


33 
34 
17 
84 


1 

3 
7 
11 




2 
2 








92 

78 

59 

229 




Transcripts: 
pages per cose 


76 

77 

78 

76-78 


71.6 
81.3 
84.2 
78.4 


3 
4 
2 
2 


246 
269 
641 
64! 





1 
1 


6 
3 

5 
14 


41 

30 

30 

101 


41 
40 
26 
107 


2 
5 
5 
12 


90 

78 

67 

235 




Briefs: 

pc^es per cose 


76 

77 

78 

76-78 


8.8 

4.1 

30.8 

9.7 








115 
44 
124 
124 


31 

15 

2 

48 





1 
1 


3 
2 
2 

7 


2 


1 
3 








36 

17 

6 

59 




Exhibits: 
pages per cose 


76 

77 

78 

76-78 


47.3 
60.6 
67.0 
57.3 








22! 
441 
240 
441 


9 

2 

6 

17 


10 
5 

1 
16 


41 

42 

29 

112 


22 
25 
23 
70 


2 
1 
2 

5 


84 

75 

61 

220 




Contested 
motiojis: 

number per case 


76 

77 

78 

76-78 


.6 
.5 
.8 
.6 








7 
3 
8 
8 


74 

57 

44 

175 


4 

2 

5 

11 




















78 
59 
49 
186 




Written opinions 
by ALJ: 
poges per cose 


76 

77 

78 

76-78 


3.7 

9.9 

15.2 

7.2 





1 




29 
19 
56 
56 


41 
5 
1 

47 


7 
2 

4 
13 


8 
10 
13 
31 
















56 
17 
18 
91 



Procedures — 

These cases ore initiated by airmen who are challenging 
the action of the Federal Aviation Administrator who has 
denied an application for the issuance or renewal of an 
airman's certificate. The airman has 60 days to petition for 
review before the NTSB, 

The prehearing stage is initiated by the filing of such a 
petition. Ordinarily the case is referred to the CALJ's office 
the same day. The Administrator has 20 days to answer. 

The ALJ conducts the hearing and mokes the initial 
decision either in writing or orally. (If oral, a copy of the 



decision is immediately excerpted from the transcript.) 
Parties may file a notice of appeal within 10 days or the 
Board may review on its own motion within 20 days. Coses 
that are not reviewed generally do not reflect this time in the 
posthearing stage. Appeal briefs must be filed within 30 days 
of service of a written decision or 40 days of an oral 
decision. Reply briefs must be filed within 30 days of the 
appeal brief. 

In rare cases, an expedited "emergency" proceeding is 
held. It is not known how many of such cases were included. 



282 



NUCLEAR REGULATORY COMMISSION 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Case Type 



Cases 
Pending at 
FY Start of FY 



New Coses 

Referred to 

Office of ALJs 



Coses Coses 

Terminated Pending at 
by Agency End of FY 



Construction Permit Review 
Safety 

42 use 2133, 2239 

10 CFR 2 et seq. (See especially Appendix A to Part 2) 

Applications for construction permit to construct a nuclear 
power plant or related facility. These are hearings on the 
safety aspects of the applications. 

Adjudicative hearings are presided over by a 3-nnember 
Atomic Safety and Licensing Board. This board is appointed by 
the Commission or the Chairman of the Atomic Safety and 
Licensing Board Panel. One of the three must be "qualified in 
the conduct of administrative proceedings" (h2 USC 2241). He 
need not be on ALJ, even though the NRC does employ a Chief 
Administrative Law Judge. The other two members of the 
Board ore generally chosen for their technical expertise. The 
Board member acting as presiding officer has all the powers 
normally given to an ALJ in adjudicatory proceedings. 



(75) 




17 


5 




76 


29 


6 


5 


30 


77 


30 


4 


4 


30 


78 


30 





5 


25 



76-78 



14 



42 USC 2133, 2139 



Construction Permit Review 
Environmental 



- These cases are hearings on the environmental issues of 
applications. See Safety hearings for further description of 
hearings. 



(75) 




17 


4 




76 


29 


5 


5 


29 


77 


29 


4 


4 


29 


78 


29 





5 


24 



76-78 



14 



42 USC 2133, 2139 



Construction Permit Review 
Combined Safety and Environmental 



Construction permit hearings may be split into safety and 
environmental components or they may be combined, 
depending upon when the staff is able to complete its final 
safety and environmental analyses. Combined hearings are 
held when the two staff documents are issued within one month 
of each other, otherwise the hearings are split. 



(75) 




2 


6 




76 


10 


1 


1 


10 


77 


10 





1 


9 


78 


9 


1 


1 


9 



76-78 



Operating License Review 

42 USC 2134(b), 2239 
10 CFR 2 

After a construction permit has been issued, and the 
construction has been substantially completed in conformance 
with such permit, the applicant must obtain an operating 
license. This may result in additional hearings to consider 
safety or environmental issues which relate to the operation of 
the plant. 



OS) 




2 


2 




76 


II 


1 


3 


9 


77 


9 


5 


3 


II 


78 


II 


1 


1 


II 



76-78 



283 



NUCLEAR REGULATORY COMMISSION (continued) 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from f>revious publication) 



Cose Type 



FY 



Cases New Cases Cases Cases 

Pending at Referred to Terminated Pending at 
Start of FY Office of ALJs by Agency End of FY 



Antitrust 

42 use 2 1 35(c) 
I0CFR2 

Under 42 USC 2135(c) an interested party may also request 
that the application be reviewed for inconsistency with the 
federal antitrust laws. Such a request is forwarded to the 
Attorney General who may recommend that a separate hearing 
be held on this question (with the Attorney General or his 
designee having the right to participate as a party). 



(75) 







4 




76 


3 


1 


1 


3 


77 


3 


3 


1 


5 


78 


5 








5 



76-78 



Miscellaneous 



Includes environmental hearings held on already operating 
plants, show cause proceedings (drastic flaw in application; 
applicant must show cause why hearing should be continued), 
applications for license amendments, and other proceedings. 



(75) 




1 


6 




76 


11 


4 


3 


12 


77 


12 


4 


1 


15 


78 


15 


8 


1 


22 



76-78 



16 



284 



Agency: NUCLEAR REGULATORY COMMISSION 

Case type: Atomic Energy Act 

Construction Permit Review 
Safety 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 4 4 2 10 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



















































4 


4 


2 


10 



























AGENCY REVIEW (number of coses) 

Review- 76 77 78 76-78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



10 




ELAPSED T 
Stage of Cos 


IME DATA 
ie 

Date applicant 
tenders report / 
Notice of hearing 


Case 
Breakdow 


n FY 

76 

77 

78 

76-78 


Elapsed Time (days) 
Avg Min Max 

155.8 63 240 
295.5 92 814 
121.0 105 137 
204.7 63 814 


Distribution of Ca 
0-lmo l-4mo 


ses by Elq 
4-l2mo 


F>sed Time (cases) 
l-2yr 2yr+ 


1 

1 


N 
(cmes) 


Prehearing 


All 
Cases 








2 
2 

1 

5 


2 
1 
1 

4 


4 

4 

2 

10 


Hearing 


Notice of hearing / 
Licensing Board's 
decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


728.3 
813.0 
1292.5 
881.9 


516 
708 
1198 
516 


805 

915 

1387 

1387 




















1 
1 


2 


3 
2 
2 

7 


4 
3 
2 
9 






All 

Other 

Coses 


76 

77 

78 

76-78 


;; 


- 


= 






































PostKtearing 


Licensing Board's 
decision / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


64.8 
412.0 
261.0 
224.1 


28 
102 
229 

28 


159 
769 
293 
769 


1 




1 


2 

1 


3 


1 
1 

2 

4 










1 



1 


4 
3 
2 
9 






All 

Other 

Cases 


76 

77 

78 

76-78 


- 


"— 


- 






































Total Time 


Date applicant 
tenders report / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


948.8 
1675.8 
1674.5 
1384.7 


607 
1133 
1628 

607 


1072 
2660 
1721 
2660 




















1 




1 


3 
4 
2 
9 


4 

4 

2 

10 






All 

Other 

Cases 


76 

77 

78 

76-78 


- 


- 


- 








































285 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or partial hearing— 

FY: 76 77 78 76-78 

Number; 4 li 2 10 



Time/Effort (days, pages, etc) Distribution of Cases by Time/Effort Item 



N 





Item 


FY 

76 

77 

78 

76-78 


Avg 

2.8 
9.8 
2.0 
5.8 


Min 

2 
4 
2 
2 


Max 


0-2 

1 


1 
2 


3-9 

3 
2 

5 


10-59 


60-199 







200«iays, etc. 







(coses) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearings 
separate 
days per cose 


3 
16 

2 
16 



2 

2 


4 
4 
1 
9 




ALJ preheoring 
and heoirings 
hours per cose 


76 

77 

78 

76-78 


- 


- 


- 








































ALJ Travels 
hours per cose 


76 

77 

78 

76-78 


~ 


~ 


~ 






































Parties 


Petitioners, respon- 
dents, interverosrs 
(inclining agency); 

number per cose 


76 

77 

78 

76-78 


2.3 

3.5 
3.0 
3.0 


2 
3 
3 
2 


3 

5 
3 
5 


2 


2 


1 

4 
2 

7 




















3 
4 
2 
9 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs): 
number per case 


76 

77 

78 

76-78 


12.0 
23.0 

17^ 


12 
23 

12 


12 
23 

23 














1 

i 


2 














1 
1 


2 




Tronscriptsi 
poges per cose 


76 

77 

78 

76-78 


3A5.5 

728.0 
«2.0 


113 

728 
113 


560 

728 
728 




















1 




1 


3 


1 

4 


4 

1 
5 




Briefsi 

pages per cose 


76 

77 

78 

76-78 


18.0 

18.0 


18 
18 


18 
18 














1 




1 















1 



1 




Exhibitss 
pK^ies per cose 


76 

77 

78 

76-78 


~ 


- 


= 









































Contested 
motioftss 
number per cose 


76 

77 

78 

76-78 


4.0 
4.0 






12 
12 


2 


2 








1 




1 














3 


3 




Written opinions 
byALJs 
pages per cose 


76 

77 

78 
76-78 


21.8 

21.8 


20 
20 


27 
27 














4 


4 














4 


4 



Procedures — 

The prehearing stage begins when the applicant tenders his 
preliminary safety analysis report. When the staff deems this 
preliminary submission to be adequate to start a review the 
case is docketed. The applicant may be asked to submit more 
information, however, to facilitate the staff's review. All 
applications are noticed in the Federal Register and also 
served on appropriate local officials, the US Attorney 
General, and the Advisory Committee on Reactor Safeguards 
for its independent (advisory) evaluation of the safety 
aspects. When the review is completed, the Commission 
issues its Supplemental Safety Evaluation. 

Notice of hearing is published in the Federal Register, and 
an Atomic Safety and Licensing Board (three members, 
chaired by a lawyer-member) is normally assigned to 



preside. Prehearing conferences ore very important in 
narrowing the issues for hearing. The hearing is adjudicatory 
in nature. 

After reviewing the filings and the testimony, the Board 
makes its initial decision which may be appealed to the 
Atomic Safety and Licensing Appeal Board within 7 days. 
Briefs and reply briefs are due within 15 and 20 days 
respectively. The Commission itself has the authority to 
review an Appeal Board decision, but only on its own motion; 
petitions for review are not entertained. It is assumed, but 
not known, that none of the above cases involved this extra 
review step. 



286 



Agency: NUCLEAR REGULATORY COMMISSION 

Case type: Atomic Energy Act 

Construction Permit Review 
Environmental 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 4 4 2 10 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 







































4 


4 


2 





















76-78 








AGENCY REVIEW (number of cases) 
Review— 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76-78 

10 




ELAPSED T 
Stage of Cos 


ME DATA 
>e 

Date applicant 
tenders report / 
Notice of hearing 


Case 
Breakdowi 


1 FY 

76 

77 

78 

76-78 


Elapsed Time (days) 
Avg Min Max 

85.0 63 137 
284,5 92 770 
121.0 105 137 
172.0 63 770 


Distribution of Cases by Elq 
0-lmo l-4mo 4-IAno 


(Jsed Tir 
l-2yr 







ne (coses) 
2yr+ 


I 


1 


N 
(cases) 


Prehearing 


All 
Cases 








3 
2 

1 

6 


1 
1 
1 

3 


4 

4 

2 

10 


Hearing 


Notice of hearing / 
Licensing Board's 
decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


473.0 
417.8 
556.5 
467.6 


385 
343 
434 
343 


662 
542 
679 
679 
















1 



1 


4 
3 
2 
9 








4 

4 

2 

10 






All 

Other 

Cases 


76 

77 

78 

76-78 


;; 


- 


- 







































Post hearing 


Licensing Board's 
decision / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

7&-78 


320.0 
962.5 
997.0 
712.4 


159 
475 
812 
159 


426 
1429 
1182 
1429 














2 


2 


2 
2 

4 



2 
2 

4 


4 
4 
2 

10 






All 

Other 

Cases 


76 

77 

78 

76-78 


- 


~ 


- 








































Total Time 


Date applicant 
tenders report / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


878.0 
1664.8 
1674.5 
1352.0 


607 
1133 
1628 

607 


IIOI 
2616 
1721 
2616 




















1 




1 


3 
4 
2 
9 


4 

4 

2 

10 






All 

Other 

Cases 


76 

77 

78 

76-78 


- 


- 


- 








































287 



TIME AND BFFORT AT THE HEARING STAGE 



Coses with full or partial hearing- 















FYs 




76 




77 


78 


76-78 
















Numbers 




4 




4 


2 


10 






Item 


FY 

76 

77 

78 

76-78 


Time/Effort (doys, f 
Avg Min 

4.8 2 
14.5 7 
16.0 16 
10.3 2 


wges, etc.) 
Max 


Distribut 
0-2 

1 




1 


iono 
i-9 

2 
1 


3 


f Coses 
10-59 


by Time/Effort Item 
60-199 200+days, etc. 







N 
(coses) 


Prehearing 

& Hearing 
Time 


ALJ prehearing 
ond heoring; 
sepwrote 
days per cose 


II 
21 
16 
21 




1 

3 
1 
5 


4 
4 

1 
9 




ALJ prefiecring 
ond hearings 
hours per case 


76 
77 
78 

76-78 


2.0 
2.0 


2 
2 


2 
2 


1 




1 
































1 




1 




ALJ Trove!: 
hours per case 


76 

77 

78 

76-78 














1 




1 






























1 




1 


Parties 


Petitioners, respon- 
dents, intervenors 
(including C!gency)s 
number per case 


76 

77 

78 

76-78 


2.5 
4.3 
3.5 
3.6 


2 
3 
3 
2 


3 

6 
4 
6 


1 




1 


1 

4 
2 

7 
























2 

4 
2 
8 


Poperwork 


Evidentiary docu- 
ments (excluding 
briefs)s 
number per cose 


76 

77 

78 

76-78 


10.0 
29.0 
39.0 
22.0 


10 
29 
39 
10 


10 
29 
39 
39 
















2 

1 
1 
4 
















2 
1 

1 
4 




Trtmscriptss 
pages per case 


76 

77 

78 

76-78 


889.3 

1349.0 
981.2 


381 

1349 
381 


2149 

1349 
2149 
































4 


1 

5 


4 

1 
5 




Briefss 
pc^es per cose 


76 

77 

78 

76-78 


II.O 
II.O 


II 
II 


II 
II 
















1 




1 
















1 




1 




Exhibits! 
p<K(es per cose 


76 

77 

78 

76-78 


: 


~ 


- 












































Contested 
motiOTiss 

number per cose 


76 

77 

78 

76-78 



7.0 

2*3 



7 





7 

7 


2 



2 




1 



1 

























2 
1 


3 




Written opinions 
by ALJs 
pages per case 


76 
77 
78 

76-78 


44.5 

45.0 
44.6 


40 

45 
40 


51 


51 
















4 


1 

5 
















4 


1 
5 



Procedures — 

The prehearing stage begins when the applicant tenders his 
preliminary environmental report. When the staff deems this 
preliminary submission to be adequate to start a review the 
case is docketed. The applicant may be asked to submit more 
information, however, to facilitate the staff's review. All 
applications are noticed in the Federal Register and also 
served on appropriate local officials and the US Attorney 
General. When the review is completed, the Commission 
issues its Final Environmental Statement. 

Notice of hearing is published in the Federal Register, and 
an Atomic Safety and Licensing Board (three memoers, 
chaired by a lawyer-member) is normally assigned to 



preside. Prehearing conferences are very important in 
narrowing the issues for hearing. The hearing is adjudicatory 
in nature. 

After reviewing the filings and the testimony, the Board 
makes its initial decision which may be appealed to the 
Atomic Safety and Licensing Appeal Board within 7 days. 
Briefs and reply briefs are due within 15 and 20 days 
respectively. The Commission itself has the authority to 
review an Appeal Board decision, but only on its own motion; 
petitions for review ore not entertained. It is assumed, but 
not known, that none of the above cases involved this extra 
review step. 



288 



Agency: NUCLEAR REGULATORY COMMISSION 

Case type: Atomic Energy Act 

Construction Permit Review 
Combined Safety and Environmental 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: 110 2 



MANNER OF TERMINATION (number of coses) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 
































1 




1 

























76-78 








AGENCY REVIEW (number of coses) 



Review- 


76 


77 


78 


Yes: 
No: 


1 



1 








Result- 








Affirm 
Reverse 
Modify 
Remand/Other 


1 






1 













76-78 

2 




ELAPSED T 


IME DATA 
;e 

Date applicant 
tenders report / 
Notice of hearing 


Cose 
Breokdowi 


n FY 

76 

77 

78 

76-78 


Elapsed Time (days) 
Avg Min Max 

103.0 103 103 
138.0 138 138 

120.5 103 138 


Distribution of Cases by Elapsed Time (coses) 


N 


Stage of Ca 


0-lmo 


l-4mo 


'i-IZmo 


l-2yr 








2yr+ 







(cases) 


Prehearing 


All 
Cases 









1 




1 




1 



1 


1 
1 


2 


Hearing 


Notice of hearing / 
Licensing Board's 
decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


579.0 
386.0 

482.5 


579 
386 

386 


579 
386 

579 




















1 

1 


2 








1 
1 


2 






All 

Other 

Coses 


76 

77 

78 

76-78 


= 


- 


- 








































Post hearing 


Licensing Board's 
decision / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


38.0 
1137.0 

587.5 


38 
1137 

38 


38 
1137 

1137 








1 




1 
















1 



1 


1 
1 


2 






AM 

Other 

Cases 


76 

77 

78 

76-78 


~ 


I 


- 






































Total Time 


Date applicant 
tenders report / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


720.0 
1661.0 

1190.5 


720 
166! 

720 


720 
1661 

1661 




















1 




1 




1 



1 


1 
1 


2 






All 

Other 

Cases 


76 

77 

78 

76-78 


- 


- 


- 







































289 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or partial hearing — 

FYi 76 77 78 76-78 

Numbers 110 2 



Item 



Preheorirtg ALJ preheonring 
& Hearing and hearings 
Time separate 

days per case 



Parties 



Paperwork 



ALJ prehearing 
<BTfd hearings 
hours per cose 



ALJ Travel; 
hours per cose 



FY 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Time/Effort (days, pages, etc.) 
Avg Min Max 



5.0 
3.3 

4.0 



dents, intervenors 
(including ngency); 

number per cose 


77 

78 

76-78 


2.0 
2.0 


2 
2 


2 
2 


Evidentiary docui- 
ments (excluding 
briefs): 
number per cose 


76 

77 

78 

76-78 


16.0 
16.0 


16 
16 


16 
16 


Transcripts: 
pages per case 


76 

77 

78 

76-78 


II 10.0 
II 10.0 


IIIO 
IIIO 


IIIO 
IIIO 


Briefss 

pages per cose 


76 

77 

78 

76-78 


^ 


- 


;; 


Exhibits: 
poges per case 


76 

77 

78 

76-78 


~ 


;; 


- 


Contested 
motions: 
number per cose 


76 

77 

78 

76-78 


E 


- 


- 


Written opinicins 
by ALJ: 
pages per case 


76 

77 

78 

76-78 


42.0 

42.0 


42 
42 


42 
42 



Distrib 


ution of Cases by Time 


/Effort Item 


N 


0-2 


3-9 


10-59 


60-199 


200+days, etc. 


(coses' 





1 











1 





1 











1 























2 











2 




































































































































































1 














1 




















1 














1 


























1 








1 


























1 








1 














1 


1 


















































1 


i 
































































































































































































































1 








1 












































1 








1 



Procedures — 

The prehearing stage begins when an applicant tenders his 
preliminary safety and environmental reports for staff 
review. When the two staff reports (Supplemental Safety 
Evaluation and Final Environmental Statement) are issued 
within a month of each other the issues are consolidated into 
a single proceeding. 

Notice of hearing is published in the Federal Register, and 
an Atomic Safety and Licensing Board (three members, 
chaired by a lawyer-member) is normally assigned to 
preside. Prehearing conferences are very important in 
narrowing the issues for hearing. The hearing is adjudicatory 
in nature. 



After reviewing the filings and the testimony, the Board 
makes its initial decision which may be appealed to the 
Atomic Safety and Licensing Appeal Board within 7 days. 
Briefs and reply briefs are due within 15 and 20 days 
respectively. The Commission itself has the authority to 
review an Appeal Board decision, but only on its own motion; 
petitions for review are not entertained. It is assumed, but 
not known, that none of the above cases involved this extra 
review step. 



290 



Agency: NUCLEAR REGULATORY COMMISSION 

Case type: Atomic Energy Act 

Operating License Review 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 2 4 6 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ (Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o (Hearing 

































1 





2 


3 
























76-78 





I 



AGENCY REVIEW (number of coses) 
Review- 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remond/OtlTer 



76-78 

5 
I 



ELAPSED T 
Stage of Cat 


ME DATA 
■e 

Date of application 
/ Notice of hearing 


Case 
Breakdowi 


n FY 

76 

77 

78 

76-78 


Elapsed Time (days) 
Avg Min Max 

764.5 690 839 
373.8 53 946 

504.0 53 946 


Distribution of Cases by Elq 
0-lmo l-4mo 'l-l2mo 


fwedTir 
l-2yr 

1 




1 


ne (cases) 
2yr+ 

1 

1 


2 


N 
(cases) 


Prehearing 


All 

Coses 










1 



1 



2 

2 


2 
4 

6 


Hearing 


Notice of hearing / 
Licensing Board's 
decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


638.5 
642.3 

640.8 


317 
163 

163 


960 
1328 

1328 









1 
■ 




1 

1 


2 




1 



1 


1 
1 


2 


2 
3 


5 


' 




All 

Other 

Cases 


76 

77 

78 

76-78 


= 


= 


= 














■0 



























Posthearing 


Licensing Board's 
decision / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


579.5 
969.7 

813.6 


277 
336 

277 


882 
1423 

1423 










lo 

10 


1 

1 


2 








1 

2 

3 


2 
3 

5 






All 

Other 

Cases 


76 

77 

78 

76-78 


I 


:; 


- 










. 






























Total Time 


Date of application 
/ Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


1982.5 
2006.0 

1996.6 


1927 
1717 

1717 


2038 
2532 

2532 


























2 
3 


5 


2 

3 

5 






All 

Other 

Cases 


76 

77 

78 

76-78 


313.0 
313.0 


313 
313 


313 
313 

















1 



1 















1 


1 



291 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or partial Jieoring — 



Item 



Prehearing ALJ prdbetring 
& Heoring and hearings 
Time separate 

days per cose 



Parties 



Paperwork 



ALJ prehearing 
and hearings 
^Kjurs per cose 



ALJ Travels 
hours per case 



FY 



76 

77 

78 

7S-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Petitioners, respcum- 76 
dents, interveners 77 

(including agency); 78 

number per cose 76-78 



Evidentiary docu- 
ments (excluding 

briefs): 
number per cose 

Transcripts! 
pages per cense 



Briefss 

pages per cose 



Exhibits; 

pages per case 



Contested 
motions! 
number per cose 



Written opinions 
by ALJ: 
p<^es per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Time/Effort (days, pages, etc.) 



Avg 

10.5 
6.3 

8.0 



5.5 

5.7 

5.6 



36.0 

36.0 

1 924,0 
1689.0 

1845.7 



4.0 
7.0 

5.5 

34.0 

34.0 



Min 



36 

36 

729 
1689 

729 



Max 

15 
9 



36 

36 

3119 
1689 

3119 



4 
7 

7 

50 

50 



FY: 




76 




77 


78 


76-78 




Number: 




2 




3 





5 




Distribut 


on of Cases by 1 


ime/Effort Item 


N 


0-2 ; 


1-9 

1 


10-59 


60-199 200+days, etc. 




(cases) 







1 


2 


1 


2 















3 
























1 


3 




1 










5 





















































































































































































2 















2 





3 















3 



























5 















5 
































1 










1 
































1 










1 


















2 


2 


















1 


1 








































3 


3 





















































































































































































1 















1 





1 















1 



























2 















2 










2 










2 






















































2 










2 



Procedures — 

The issues may be different, but the procedures are similar 
to construction permit reviews. 



292 



Agency: NUCLEAR REGULATORY COMMISSION 
Cose type: Ant i tr ust 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 110 2 



MANNER OF TERMINATION (number of coses) 
Not on Merits- 
Settlement 
Withdrawal 
Dismissal 
Other 

On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



'6 


77 


78 


1 











1 



















































76-78 

I 

I 






AGENCY REVIEW (number of cases) 



Review — 

Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 





77 



78 







I 









76-78 

I 



ELAPSFD T 
Stage of Cos 


ME DATA 

Date of applicalton 
/ Notice of hearing 


Cose 
Breakdowi 


T FY 

76 

77 

78 

76-78 


Elapsed Time (days) 
Avg Min Max 

215.0 215 215 
988.0 988 988 

601.5 215 988 


Distribution of Cases by Elq 
0-lmo l-4mo 4-l2mo 


fsed Tir 
l-2yr 







ne (coses) 
2yr+ 



1 


1 


N 
(coses) 


Prehearing 


All 
Cases 














1 




1 


1 
1 


2 


Hearing 


Notice of hearing / 
Licensing Board's 
decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


= 


- 


= 













































All 

Other 

Cases 


76 

77 

78 

76-78 


550.0 
242.0 

396*0 


550 
242 

242 


550 
242 

550 
















1 



1 


1 




1 








1 
1 


2 


Postheoring 


Licensing Board's 
decision / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


140.0 
140.0 


140 
140 


140 

140 
















1 



1 















1 


1 






All 

Other 

Cases 


76 

77 

78 

76-78 














1 




1 


























1 




1 


Total Time 


Date of application 
/ Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


1370.0 
1370.0 


1370 
1370 


1370 
1370 




























1 



1 



! 


1 






All 

Other 

Coses 


76 

77 

78 

76-78 


765,0 
765.0 


765 
765 


765 
765 
















0. 









1 




1 


1 




1 



293 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



Preheoriog ALJ prehearing 
& Hearing and heoringi 
Time seporalte 

days per cose 



Parties 



Pajjerwirark 



ALJ prehearing 
<md hearings 
hours per cose 



ALJ Travels 
hours per cose 



FY 



76 

77 

78 

7fi-78 

76 

77 

78 

7iS-78 

76 

77 

78 

7&-78 



Petitiojters, respon- 76 

dentSj intervenors 77 

(irvcluding cgerecy)? 78 

number per case 76-78 

Evidenltiary docu- 76 

merits (excluding 77 

briefs)s 78 

number per case 76-78 



Transcriptss 
pages per case 



Briefs: 

pages per case 



Exhibits! 
pages per cose 



Contested 
motions: 

numbly per cose 



Written opinions 
by ALJs 
pages per case 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Tome/Effort (days, pages, etc.) 
Avg Min Max 



Cases with full or partial hearing — 

FY: 76 77 78 76-78 

Number: 10 I 

Distribution of Cases by Time/Effort Item 



212.0 212 
212.0 212 



212 



212 



2.0 
2.0 



0-2 


3-9 


10-59 


60-199 


200+days, etc. 


(coses) 






















































































































































































































































































































































































1 


1 


















































1 


1 


























































































































































































































1 














1 






































1 














1 



Procedures — 

Antitrust proceedings may arise out of either construction 
or operating permit reviews if the Attorney General 
recommends a separate hearing on antitrust issues. During 
the prehearing review process the Attorney General may 
make such a recommendation. The Attorney General may 
participate as a party. 

Notice of hearing is published in the Federal Register, and 
an Atomic Safety and Licensing_ Board (three members, 
chaired bv a lawyer-member) is normally assigned to 
preside. Tne hearing is adjudicatory in nature. 



After reviewing the filings and the testimony, the Board 
makes its initial decision which may be appealed to the 
Atomic Safety and Licensing Appeal Board within 7 days. 
Briefs and reply briefs are due within 15 and 20 days 
respectively. The Commission itself has the authority to 
review an Appeal Board decision, but only on its own motion; 
petitions for review are not entertained. It is assumed, but 
not known, that none of the above cases involved this extra 
review step. 



294 



OCCUPATIONAL SAFETY AND HEALTH REVIE\N COMMISSION 



OSHA Enforcement Cases: Proceedings whereby an 
employer may contest a citation or proposed civil 
penalty assessment charging him with a violation of the 
Occupational Safety and Health Act of 1970 (29 U.S.C. 
651-78) or any standard, rule, or order promulgated 
thereunder, or whereby an affected employee or 
representative may contest the citation's prescribed 
period for abatement of the violation. (Rules of 
Practice 29 CJ^.R. 2200) 

OSHRC: The Occupational Safety and Health 
Review Commission is an independent adjudicatory 
Commission with three Commissioners and a staff of 
administrative law judges. It exists solely to adjudicate 
contests of OSHA (Department of Labor) citations. The 
Commission itself is not port of the Department of 
Labor. 

Procedures; The proceeding is set in motion when 
an inspector for the Occupational Safety and Health 
Administration (OSHA), an agency of the Department of 
Labor, finds what he believes to be a safety or health 
standard violation. The employer is issued a citation 
which describes the violation, the period of time OSHA 
deems reasonable for correction ("abatement"), and a 
civil penalty, if any. The employer or an affected 
employee has 15 working days from receipt of the 
notification of proposed penalty to notify the OSHA 
Area Director in writing of his intent to contest the 
citation. Within 7 days of receipt, the OSHA Area 
Director must forward the notice of contest to the 
Commission. The Commission notifies the Secretary of 
Labor ("complainant"), the employer ("respondent"), and 
other affected parties of the docketing of the case. 

Within 20 days of the date on which OSHA receives 
the employer's notice of contest, the Secretary of Labor 
(Solicitor's Office) must file a complaint with the 
Commission setting forth the alleged violation and 
justification for the proposed penalty. The employer 
has 15 days from the filing to file an answer. If no 
answer is filed, a show cause letter is sent warning the 
respondent of possible dismissal of his contest. The 
docketed case is channeled through the Chief ALJ's 
office and is assigned to an ALJ for hearing. The 
parties are given at least 10 days notice of the hearing. 

At any stage of the proceedings, an employer may 
withdraw his contest if he abates the violation (or shows 
when it will be abated), pays any proposed penalty, and 



gives notice to affected employees. Settlements are 
encouraged but they must be approved by the Secretary 
of Labor, the Commission, and affected employees. 

After the trial-type hearing, the ALJ will issue a 
written decision and file it with the Commission and the 
parties. This decision becomes final 30 days after 
receipt by the Commission unless one of the three 
Commissioners directs that the case be reviewed. 
Review is not a matter of right; however, any party may 
petition the Commission requesting review. The 
Commission may also review the cose on its own 
motion. Where review is directed, briefs and exceptions 
are filed and oral argument is sometimes permitted. If 
review is not directed, or if the Commission issues a 
decision on the merits, appeal may be had to the U.S. 
Court of Appeals. 

If the employer has not contested the citation, he 
may still later file a petition for modification of the 
order for abatement (PMA). This petition must be filed 
no later than the end of the next working day following 
the date on which abatement was to have been 
completed. OSHA must forward this petition to the 
Commission within 3 days of receipt. Within 10 days of 
receipt, the Secretary of Labor must file a response. (In 
these cases, the employer is the "petitioner" and the 
Secretary of Labor is the "respondent".) 

Statistics: For this report, the Administrative 
Conference sought data from OSHRC concerning 
caseload, elapsed time between key stages of the cases, 
number of various types of termination, and a report on 
activity at the Commission stage. These data hod been 
transmitted to us for our FY 1975 report. However, 
OSHRC was unable to provide much of the data for FY 
1976-78. The Director of OSHRC's Office of Financial 
and Administrative Services, Larry Hoss, supplied us 
with some data, but reported that "Most of the 
requested data was not available. This unavailability 
resulted from a change from a large scale ADP system 
in 1977 to a mini-computer system that is totally 
inadequate . . . .There will be a new ADP system 
beginning FY 81 which will include most of the data you 
have requested." We were able to garner some 
additional statistics from the President's Report on 
Occupational Safety and Health (Calendar Years 
1 976- 1 979) which was furnished by OSHRC. 



Occiipational Safety and Health Review Commission 



295 



Table I 



Ca s e I oad 



New cases filed with ALJs (fiscal year) 
Cases terminated by agency (fiscal year) 



1975 

2513 
2513 



1976 

N/A 
N/A 



1977 

3311 
3843 



1978 

4331 
3777 



(Calendar years statistics) 

Cases filed with agency 

All final orders issued 

ALJ decisions 

Commission-directed reviews of ALJ decisions 

Cases awaiting Commission decision 

Final decisions on the merits 
by Commission and ALJs 

Results of decisions on merits: 
Finding of no violation 
Partial reduction of penalty 
Penalty reduced to zero 
Charge upheld 
Penalty raised 

Cases appealed to Court of Appeals 



4742 


5419 


4488 


5975 


4680 


3098 


3626 


N/A 


N/A 


N/A 


2903 


3859 


296(FY) 


N/A 


263 


160 


N/A 


930 


339 


N/A 



N/A 



N/A 



985 



404 



N/A 


28% 


24.2% 


19% 


N/A 


45% 


45.4% 


47% 


N/A 


4% 


5.0% 


4% 


N/A 


22% 


25.3% 


29% 


N/A 


1% 


0.1% 


1% 



67 



77 



64 



45 



Table 11: Average Elapsed Time in Days 



Preheoring 

Filing — Date assigned to ALJ (all cases) 

Hearing 

Assigned to ALJ — Date heard 

Assigned to ALJ — ALJ decision on merits 

Assigned to ALJ — ALJ disposition not on merits 

Posthearing 

Date heard — Date briefs received 

Briefs received — Date decision filed with Commission 

Decision filed — Final Commission order 

Total Time 

Filing — ALJ decision (all cases) 

Filing — Final Commission decision (hearing cases only) 



FY 1975 


Calendar 1976 


FY 1977 


FY 1978 


4/77-9/79 


73.2 


N/A 


89.6 


83.6 


87.4 


61.1 


N/A 


228.1 


228.6 


100.7 


208.3 


227 


N/A 


N/A 


222.5 


191.2 


131 


N/A 


N/A 


98.4 


63.0 


N/A 


N/A 


N/A 


83.3 


88.9 


N/A 


N/A 


N/A 


38.5 


334.2 


N/A 


316.8 


533.5 


N/A 


208 


227 


N/A 


N/A 


N/A 


N/A 


624 


N/A 


N/A 


N/A 



296 



SECURITIES AND EXCHANGE COMMISSION 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1 975 from previous publication) 



Case Type 



Cases New Cases Cases Cases 

Pending at Referred to Terminated Pending at 
FY Start of FY Of f ice of ALJs by Agency End of FY 



Securities Act of 1 933 
Stop Orders 

l5USC77h 
17CFR20I etseq. 

Proceedings to determine whethier a registration statement 
witli respect to an offering of securities Is false and misleading 
so as to warrant the issuance of an order suspending its 
effectiveness until it is amended in accordance with the order. 



(75) 












76 


2 





1 


1 


77 


1 





1 





78 















76-78 



Securities Act of 1 933 
Regulation B Suspensions 

15 use 77c 

17 CFR 201 et seq., 17 CFR 230.300 

Proceedings upon application for an order exempting any 
class of securities from the enforcement of the provisions of 
the 1 933 Act and Regulation B thereunder, by reason of the 
small amount involved or the limited nature of the public 
offering. 



(75) 




1 







76 


1 


15 


1 


15 


77 


15 


1 


\k 


2 


78 


2 








2 



76-78 



16 



15 



15 use 77c 

17 CFR 201 et seq., 



Securities Act of 1 933 
Regulation A Suspensions 



17 CFR 230.261 



Proceedings to determine whether the terms and conditions 
of the exemption from the registration provisions of the 1933 
Act and Regulation A thereunder for offerings not exceeding 
$300,000 have been satisfied. 



(75) 




8 


13 




76 


7 


6 


7 


6 


77 


6 


2 


6 


2 


78 


2 


2 


3 


1 



76-78 



10 



16 



Securities Exchange Act of 1 934 
Broker/Dealer 

1 5 use 78o(b) 

17 CFR 201 etseq. 

Proceedings to determine whether to deny, postpone, 
suspend or revoke the registration of a broker or dealer in 
securities. 



(75) 




49 


77 




76 


83° 


36 


98 


85 


77 


85 


43 


46 


82 


78 


82 


22 


32 


72 



76-78 



101 



176 



Securities Exchange Act of 1 934 
Notices/Exemptions 

1 5 use 78(h) 

1 7 CFR 201 etseq. 

Proceedings upon application by an interested person for an 
order exempting in whole or in part any issuer, class of Issuer, 
or officer of such issuer from registration, reporting or proxy 
regulation requirements imposed by the 1934 Act. 



(75) 




6 


1 




76 


6<" 


1 


2 


31 


77 


31 


1 


10 


22 


78 


22 





1 


21 



76-78 



13 



° Discrepancy in arithmetic not explained by agency. 



297 



SECURITIES AND EXCHANGE COMMISSION (continued) 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1 976— 1978 

(and P^ 1975 from previous publication) 



Cose Type 



Cases New Coses 

Pending at Referred to 
FY Start of FY Of f ice of ALJs 



Cases Coses 

Terminated Pending at 
by Agency End of FY 



Public Utility Holding Company Act of 1935 
Regulation Exemptions 

15 use 79f(b) 
I7CFR 20! etseq. 

Proceedings upon application for on order exempting certain 
issuances and sales of securities by utility holding companies 
from the registration requirements of the 1935 Act by reason 
of state authorization of the transaction when done solely for 
the purpose of financing an appropriate type of subsidiary 
company. 



(75) 







2 




16 


5° 


1 


3 


k 


77 


k 


3 


k 


3 


78 


3 


1 


1 


3 



76-78 



Investment Advisers Act of 1 940 
RevocalHon or Suspension of Registration 

1 5 use 80b-3(e) 
I7CFR20I etseq. 

Proceedings to determine whether to revoke or suspend the 
registration of an investment adviser. 



(75) 




3 


8 




76 


2° 


22 


9 


14 


77 


14 


10 


7 


17 


78 


17 


2 


10 


9 



76-78 



34 



26 



Investment Company Act of 1 940 
Exemptions 

l5USC80a-6(c) 
I7CFR20I etseq. 

Proceedings to determine whether to exempt any person, 
security, or transaction from one or more provisions of the 
Investment Company Act of 1 940. 



(75) 




2 


3 




76 


10 


3 


1 


12 


77 


12 


6 


4 


14 


78 


14 





1 


13 



76-78 



Suspension of Practitioners 



17 CFR 201.2(e) 



Proceedings to determine whether to deny a person, 
temporarily or permanently, the privilege of appearing or 
practicing before the Commission. 



(75) 

76 
77 
78 



76-78 



10 



17 



12 
9 
6 



*" Discrepancy in arithmetic not explained by agency. 



298 



Agency: SECURITIES AND EXCHANGE COMMISSION 

Case type: Securities Act of 1933 
Stop Orders 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: 110 2 



MANNER OF TERMINATION (number of cases) 

Not on Merits- 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 






1 
































1 



























76-78 

I 







AGENCY REVIEW (number of coses) 
Review— 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 







76-78 

I 



ELAPSFO T 


ME DATA 


Case 
Breal<down FY 


Elapsed Time (days) 
Avg Min Max 


Distribution 


of Coses by Elapsed Time (coses) 


N 


Stage of Cos 


0-lmo 


-4mo 


4-l2mo 


l-2yr 


2yr+ 


(coses! 


Prefieoring 


Formal order of 
investigation / 
Referral to CALJ 


All 
Coses 


76 

77 

78 

76-78 


- 


- 


- 






































Hearing 


Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


255.0 
255.0 


255 
255 


255 
255 














1 




1 














■ 


1 




1 






All 

Other 

Cases 


76 

77 

78 

76-78 


641.0 
641.0 


641 
641 


64! 
641 






















1 



1 










1 



1 


Post hearing 


ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


842.0 
842.0 


842 
842 


842 
842 


























1 





1 


1 




1 






All 

Other 

Cases 


76 

77 

78 

76-78 
















1 



1 




























1 



1 


Total Time 


Formal order of 
investigation / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


- 


~ 


- 














































All 

Other 

Cases 


76 

77 

78 

76-78 


- 


~ 


- 







































299 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



Prehearing ALJ prehearing 
& Hearing and hearing; 
Time separate 

doys par cose 



Parties 



Paperwork 



ALJ prehearing 
and hearing: 
hours per case 



ALJ Travel: 
hours per cose 



FY 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Petitioners, respon- 76 

dents, interveners 77 

(incl<LKling Qger!cy)s 78 

number per cose 76-78 

Evidentiary docu- 76 

ments (excluding 77 

briefsh 78 

numnbeB' per cose 76-78 



Transcriptss 
pages per cose 



Briefs: 

pages per case 



Exhibits! 
pages per cose 



76 

77 

78 

76-78 

76 

77 

78 
76-78 

76 

77 

78 

76-78 



Contested 76 

motianss 77 

number per cose 78 

76-78 



Written opinioriis 
by ALJs 
pages per cose 



76 

77 

78 

76-78 



Cases with full or partial hearing — 
FY: 76 77 78 

Number: I 



76-78 



Time/Effort (days, pages, etc.) Distribution of Cases by Time/Effort Item 



N 



Avg 



2.0 



Min 



2.0 


2 


7.0 


7 


7.0 


7 









Max 



2,0 
2.0 


2 
2 


2 
2 


2.0 


2 


2 


40.0 
9,0 


40 
9 


40 
9 


24.5 


9 


40 


143.0 


143 


143 


143.0 


143 


143 


52.0 


52 


52 


52.0 


52 


52 


37,0 


37 


37 


37.0 


37 


37 




















21.0 


21 


21 



21.0 



21 



21 



0-2 


3-9 


10-59 


60-199 


200+days, etc. 


(cases) 


1 














1 






































1 














1 





1 











1 









































1 











1 


1 














i 






































1 














1 


1 














1 


1 














1 




















2 














2 








1 








1 





1 











1 























1 


1 








2 











1 





1 















































1 





1 








1 








1 












































1 








1 








1 








1 












































1 








1 


1 














1 






































1 














1 








1 








1 












































I 








1 



Procedures — 

The proceeding Is initiated when the Commission issues a 
formal order of investigation. If the stoff's recommendation 
that a hearing be held is followed, the Commission will issue 
an "order for proceeding" which general ly gives notice of 
hearing and coincides with the referral of tne case to the 
CALJ's office. Unless the case is settled or unless a decision 
is waived by the parties and not required by the Commission, 
the ALJ makes an initial decision. 



Normally the parties have 30 days after the close of the 
hearing to submit proposed findings and briefs. Initial 
decisions are final unless, within 15 days, a petition for 
review is filed with the Commission. The Commission may 
review on its own motion within 30 days. The period for 
submitting briefs to the Commission is 30 days. 



300 



Agency: SECURITIES AND EXCHANGE COMMISSION 

Cose type: Securities Act of 1 933 

Regulation B Suspensions 



Case-Closed Cords Submitted— 

FY: 76 77 78 76-78 

Number: ■ 14 14 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Wittidrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o (Decision 
ALJ Decision w/o Hearing 



76-78 






14 





14 











































































AGENCY REVIEW (number of cases) 
Review- 76 77 78 



76-78 



Yes: 
No: 






14 






00 
14 


Result- 










Affirm 
Reverse 
Modify 
Remand/Other 



























ELAPSED TIME DATA 





Case 
Breakdown FY 


Elapsed 


Time 


days) 


Distributioi 


nof Ctt 


ses by Ela] 


psedTi 


me (coses 


» N 


Stage of Cose 


Avg 


Min 


Max 


0-lmo 


l-4mo 


4-l2hio 


l-2yr 


2yr+ 


(cases) 


Prehearing Application / 

Referral to CALJ 


All 
Cases 


76 

77 

78 

76-78 


114.9 
114.9 


21 
21 


305 
305 




1 


1 



3 

3 



4 

4 















8 

8 


Hearing Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


""" 


~~ 


~~ 









































All 

Other 

Cases 


76 

77 

78 

76-78 


305.5 
305.5 


174 
174 


391 
391 
















13 


13 




1 



1 










14 



14 


Posthearing ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


~ 


- 


= 








































All 

Other 

Cases 


76 

77 

78 

76-78 















14 


14 




























14 



14 


Total Time Application / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


I 


- 


- 








































All 

Other 

Coses 


76 

77 

78 

76-78 


446.6 
446.6 


334 
334 


614 
614 




- - n- 







- 







2 

2 



6 

6 









8 

8 



301 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing- 



Item 



FY 



Prehearing 


ALJ prehearing 


76 


& Hearing 


and hearings 


77 


Time 


separate 


78 




days per case 


76-78 




ALJ prehearing 


76 




and hearings 


77 




hours per case 


78 
76-78 




ALJ Travel: 


76 




hours per case 


77 

78 

76-78 



Parties 



Paperwork 



PetitiOTxers, ire^xwi- 76 
dents, interveners 77 

(including Qgency)i 78 

number per case 76-78 



Evidentiary docu- 
ments (excluding 
briefsH 
number per case 

Transcripts; 
pages per cose 



Brief SI 

pages per cose 



Exhibits! 
pages per cose 



Contested 
motions; 
number per case 



Written opinions 
by ALJs 
pages per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 
77 
78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

7&-78 



Time/Effort (days, pages, etc.) 



Avg 



Min 



Max 



2.0 


2 


2 


2.0 


2 


2 


0.3 


1 


28 


0,3 


1 


28 



15.0 
15.0 



15 
15 



15 
15 



FY: 




76 


77 


78 


76-78 




Number: 







1 





1 




Distribut 


on of Cases by 


Time/Effort Item 


N 


0-2 3-9 


10-59 60-199 20O«lays, etc. 


(cases) 




























































































































































,0 























































































































14 
















14 






















14 
















14 






















2 


2 




5 








9 






















2 


2 




5 








9 














































































































1 








1 






























1 








1 



















































































































































































































































Procedures — 

The proceeding is initiated by an application. If the staff's 
recommendation that a hearing be held is followed, the 
Commission will issue an "order for proceeding" which 
generally gives notice of hearing and coincides with the 
referral of the case to the CALJ's office. Unless the case is 
settled or unless a decision is waived by the parties and not 
required by the Commission, the ALJ makes an initial 
decision. 



Normally the parties have 30 days after the close of the 
hearing to submit proposed findings and briefs. Initial 
decisions are final unless, within \S days, a petition for 
review is filed with the Commission. Review by the 
Commission Is discretionary. The Commission may review on 
its own motion within 30 days. The period for submitting 
briefs to the Commission is 30 days. 



302 



Agency: SECURITIES AND EXCHANGE COMMISSION 

Cose type: Securities Act of 1933 

Regulation A Suspensions 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 7 6 3 16 



MANNER OF TERMINATION (number of cases) 

Not on Merita- 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



5 


3 





8 




















1 


1 








1 


1 


2 


3 


1 


6 



























AGENCY REVIEW (number of cases) 

Review- 76 77 78 76-78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



04 
12 



ELAPSED T 


ME DATA 

e 


Case 
Breakdown FY 


Elapsed Time 
Avg Min 


(days) 
Max 


Distribution of Cases by Elapsed Time (cases) 


N 


Stage of Cos 


0-lmo 


l-4mo 


'i-l2mo 


l-2yr 


2yr+ 


(cases) 


Prehearing 


Formal order of 
investigation / 
Referral to CALJ 


All 
Cases 


76 

77 

78 

76-78 


239.0 

576.3 

26.0 

333.7 


3! 

211 

. 26 

26 


496 

1395 

26 

1395 





1 
1 


3 


3 


2 
2 


4 


2 
1 


3 



1 


1 


7 

4 

1 

12 


Hearing 


Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


170.5 
555.0 
284.0 
381.7 


105 
195 
284 
105 


236 
1275 

284 
1275 








1 




1 


1 
2 

1 
4 










1 



1 


2 
3 

1 
6 






All 

Other 

Cases 


76 

77 

78 

76-78 


232.8 
178.3 
233.5 

214.8 


127 
162 
174 
127 


460 
205 
293 
460 














3 
3 
2 
8 


1 




1 








4 
3 
2 
9 


Postheoring 


ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


456.0 
415.7 

425.8 


456 
148 

148 


456 
921 

921 
















2 

2 


1 




1 




1 



1 


1 

3 


4 






All 

Other 

Cases 


76 

77 

78 

76-78 


28.6 



24.0 

19.5 


4 





94 



72 

94 


3 
3 
2 
8 


2 



1 

3 




















5 

3 

3 

II 


Total Time 


Formal order of 
investigation / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


1015.0 
2167.0 

1783.0 


1015 
1738 

1015 


1015 
2596 

2596 


























1 

2 

3 


1 

2 

3 






All 

Other 

Cases 


76 

77 

78 

76-78 


498.2 
438.5 
382.0 
472.0 


163 
373 
382 
163 


933 
504 
382 
933 














2 



2 


3 
2 

1 
6 


1 



1 


6 
2 

1 
9 



303 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing — 

FY: 76 77 78 75-78 

Number: 3 3 1 7 

Time/Effort (days, pages, etc.) Distribution of Cases by Time/Effort Item 



Procedures — 

Any time after the filing of a notification of on offering of 
securities covered by this Regulation, the Commission may 
initiate the proceeding by entering an order temporarily 
suspending the exemption from the Act's registration 
requirements. Upon such on order the Commission gives 
notice to the affected offeror who has 30 days to request a 
hearing. A hearing is set within 20 days after such reauest, 
and the case is referred to the office of the CALJ. Unless 
waived by the parties and not required by the Commission, 



N 





Item 


FY 


Avg 


Min 


Max 


0U2 


3-9 


10-59 


60-199 


20aKlays, etc. 


(cases) 


Preheoring 
& Hearing 
Time 


ALJ preheinring 
and heorir^s 
separate 
days per cose 


75 

77 

78 

76-78 


1.3 
II.O 

6,2 


1 
1 

1 


2 

30 

30 


3 
2 

5 









1 



1 














3 
3 

6 




ALJ prehearing 
and hearings 
hours per cose 


76 

77 

78 

76-78 


8.0 
73.0 

40.5 


4 
3 

3 


14 
200 

200 








2 

1 


3 


1 
1 


2 










1 



1 


3 
3 

6 




ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 


22,0 
15.0 

IB.5 


4 





40 
30 

40 




1 



1 


1 




1 


1 
1 


2 















2 
2 

4 


Parties 


Petitioners, respon- 
dents, intervenors 
(inclixling agency): 
number per case 


76 

77 

78 

7^78 


3.6 
2,8 
2,0 
3.0 


2 
2 
2 
2 


13 
7 
2 

13 


6 
5 
3 
14 




1 



1 


1 




1 














7 

6 

3 

16 


Papenwork 


Evidentiary doci;- 
ments (excluding 
briefs): 
number per case 


76 

77 

78 

76-78 


18.7 

103.0 

10.7 

48.8 


6 

1 
3 

1 


38 
538 

17 
538 




1 


1 


2 



1 

3 


5 

4 

2 

11 










1 



1 


7 

6 

3 

16 




Transcripts: 
pages per case 


76 

77 

78 

76-78 


162.7 
619,0 
446.0 
398,7 


37 

30 

446 

30 


328 
1776 

446 
1776 















1 

2 

3 


1 




i 


1 
1 . 

1 

3 


3 

3 

1 
7 




Briefs: 

pages please 


76 

77 

78 

76-78 


12,5 
229,3 

66,0 
129.8 



31 
66 




25 
609 

609 


1 




1 








1 

2 

3 





1 
1 




1 



1 


2 
3 
1 
6 




Exhibits: 
pages per case 


76 
77 
78 

76-78 


99,5 
710.0 

25,0 
392.3 


34 
55 
25 
25 


165 

1250 

25 

1250 















1 

1 
1 
3 


1 




1 



2 

2 


2 
3 

1 
6 




CtMitested 
motions: 
nombar per cose 


76 

77 

78 

7&-78 


.5 
5.0 

3.2 








1 
15 

15 


2 
2 


4 










1 


1 














2 

3 

5 




Written opinions 
by ALJ: 
poges per case 


76 

77 

78 

76-78 


5.5 
66.0 

41.8 



9 




11 
136 

136 


1 




1 




i 



1 


1 
1 


2 




1 



1 









2 
3 

5 



the ALJ makes an initial decision. 

Normally the parties have 30 days after the close of the 
hearing to submit proposed findings and briefs. Initial 
decisions are final unless, within 15 days, a petition for 
review is filed with the Commission. Commission review is 
discretionary in these cases, but if review is granted or 
ordered, the period for submitting briefs to the Commission is 
30 days. 



3M 



Agency: SECURITIES AND EXCHANGE COMMISSION 

Cose type: Securities Exciiange Act of 1934 
Broker/Dealer 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: 94 46 35 175 



MANNER OF TERMINATION (number of coses) 

Not on Merits— 76 77 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



78 76-78 



69 


33 


21 


123 





2 





2 


1 





1 


2 





1 


3 


4 


22 


10 


10 


42 


2 








2 















AGENCY REVIEW (number of cases) 

Review- 76 77 78 76-78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



16 
78 



II 

4 



38 



8 
27 



8 7 

I 







32 
143 



26 
5 
I 




Fl APSED TIME DATA 




























Case 




Elapsed Time (days) 


Distribution of Cases by Elapsed Time (cases) 


N 


Stage of Case 


Breakdow 


n FY 
76 


Avg 

361.7 


Min 




Max 

1242 


0-lmo 


l-4mo 


4-l2*no 


l-2yr 

23 


2yr+ 

16 


(coses) 


Prehearing 


Formal order of 


All 


12 


25 


18 


94 




investigation / 


Coses 


77 


324.2 





1560 


12 


9 


10 


5 


9 


45 




Referral to CALJ 




78 


446.5 


1 


1912 


4 


5 


11 


8 


6 


34 








76-78 


368.6 





1912 


28 


39 


39 


36 


31 


173 


Hearing 


Referral to CALJ / 


With ALJ 


76 


717.1 


365 


1355 








1 


13 


10 


24 




ALJ's decision 


Hearing on 77 


494,1 


63 


923 





1 


2 


6 


1 


10 






Merits 


78 


345.8 


187 


601 








7 


3 





10 








76-78 


582.0 


63 


1355 





1 


10 


22 


II 


44 






All 


76 


388.9 


44 


1176 





10 


28 


23 


9 


70 






Other 


77 


245.8 


20 


984 


1 


12 


15 


5 


2 


35 






Cases 


78 


280.0 





1600 


1 


3 


17 


3 


1 


25 








76-78 


329.4 





1600 


2 


25 


60 


31 


12 


130 


Posthearing 


ALJ's decision / 


With 


76 


680.3 


266 


1319 








2 


7 


7 


16 




Final agency 


Agency 


77 


458.0 


50 


884 





1 


1 


5 


1 


8 




action 


Review 


78 


381.5 


270 


775 








6 


1 


1 


8 








76-78 


550.0 


50 


1319 





1 


9 


13 


9 


32 






All 


76 


19.7 





444 


72 


3 


2 


1 





78 






Other 


77 


11.9 





388 


35 


1 





1 





37 






Cases 


78 


16.1 





273 


24 


2 


1 








27 








76-78 


17.0 





444 


131 


6 


3 


2 





142 


Total Time 


Formal order of 


With 


76 


1739.8 


829 


2732 














16 


16 




investigation / 


Agency 


77 


1405.0 


115 


2189 





1 








7 


8 




Final agency 


Review 


78 


1034.3 


504 


1858 











1 


7 


8 




action 




76-78 


1479.7 


115 


2732 





1 





1 


30 


32 






All 


76 


807.9 


83 


1973 





5 


14 


14 


45 


78 






Other 


77 


545.9 


83 


1733 





5 


14 


8 


10 


37 






Cases 


78 


782.3 


158 


2707 








7 


7 


12 


26 








76-78 


734.4 


83 


2707 





10 


35 


29 


67 


141 



TIME AND EFFORT AT THE HEAR1^5G STAGE 



Item 



FY 



Cases with full or partial hearing— 

FY: 76 77 78 76-78 

Numbers 32 22 22 76 



Time/Effort (days, pages, etc.) Distribution of Cases by Time/Effort item 



Avg 



Min 



Max 



0-2 3-9 10-59 60-199 200+days, etc. 



305 



N 
(coses) 



Prehearing ALJ prehearing 

& Hearing and hearings 
Time separate 

days per case 

ALJ prehearing 

amd hecring; 
hours per case 



ALJ Travel: 
hours per case 



76 

77 

78 

76-78 

76 

77 

78 

7^78 

76 

77 

78 

76-78 



Parties 



Paperwork 



Petitioners, respon- 76 
dents, intervenors 77 

(including agency): 78 

number per case 76-78 



Evidentiary docu- 
ments (excluding 
briefs); 
number per cose 

Transcripts: 
pages per cose 



Briefs! 

pages per case 



Exhibits: 
pages per ctnse 



Contested 
motions: 
number per cose 



Written opinions 
by ALJ: 

pages per case 



76 

77 

78 

76-78 

76 

77 

78 

7I&-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



8.7 

8.3 

16.7 

10.2 

58.7 

61.3 

129.0 

76.0 

20.9 

9.9 

10.2 

15.0 

5.7 
6.7 
5.6 
6.0 

50.5 
47.7 
43.6 
48.4 

1172.9 
1036.8 
1921.9 
1296,6 

118.2 

193.2 

91.9 

129.0 

381,5 
285,3 
270.7 
335.9 

2.8 
2.8 
4,5 
3.0 

32.1 
34.5 
23.9 
30.6 




29 
24 




23 
52 









13 



79 
79 
187 
187 

640 

640 

1660 

1660 

71 
24 
24 

7! 



10 

II 

6 

27 



15 
6 
6 

27 



2 31 

2 57 

2 51 

2 57 

2 705 

1 491 

2 406 
I 705 

3 10706 

4 9980 
19 20465 

3 20465 



535 

436 
21! 
535 

3528 
670 
871 

3528 

18 
7 

25 
25 

85 
60 
60 
85 



2 4 

6 5 

2 4 

10 13 



20 
7 
6 

33 

2 





14 69 

8 30 

II 21 

33 120 



21 

16 

4 

41 

I 

2 

3 











II 

5 

I 

17 






6 

3 

I 

10 



4 

7 

29 

14 
5 
6 

25 



3 
22 

51 
21 
23 
95 

4 
3 
4 
II 

5 
3 
3 




I 
2 

20 
9 
8 

37 



4 

5 

25 

6 

4 

I 

II 

15 
2 
8 

25 



5 
14 














2 
I 
I 

4 











3 
3 



22 
9 

9 

40 

2 
6 
I 
9 

15' 
7 
5 

27 













32 

21 
14 
67 

30 
19 
15 
64 

24 
15 
13 
52 

94 

46 

35 

175 

92 

46 

34 

172 

33 
18 
14 
65 

24 
II 
12 
47 

28 
II 
II 
50 

32 

12 

8 

52 

24 
10 
II 
45 



Procedures— 

The proceeding Is initiated when the Commission issues a 
formal order of investiciation. If the staff's recommendation 
that o hearing be held is followed, the Commission will issue 
an "order for proceeding" which generally gives notice of 
hearing and coincides with the referral of the case to the 
CALJ's office. Unless the case is settled or unless a decision 
is waived by the parties and not required by the Commission, 
the ALJ mokes an initial decision. 

Normally the parties have 30 days after the close of the 



hearing to submit proposed findings and briefs, (An expedited 
procedure is available where the proceeding is for suspension 
of broker-dealer registration pending final determination. It 
is not known how often this procedure was used.) Initial 
decisions ore final unless, within 15 days, a petition for 
review is filed with the Commission. In broker-dealer coses, 
the Commission must review if a petition is filed. The 
Commission may review on its own motion within 30 days. 
The period for submitting briefs to the Commission is 30 
days. 



306 



Agency: SECURITIES AND EXCHANGE COMMISSION 

Case type: Securities Exchange Act of 1 934 
Notices/Exemptions 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 2 10 I 13 



MANNER OF TERMINATION (number of cases) 



Not on Merits- 
Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 



ALJ IHearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76 



77 

































2 





1 


















78 76-78 

I 10 







AGENCY REVIEW (number of coses) 
Review- 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76-78 

I 

12 



ELAPSFD TIME DATA 
Stage of Cose 


Case 
Breakdow 


1 n. 

76 

77 

78 

76-78 


Elapsed Time 
Avg Min 

328.0 
161.0 

208.7 


(days) 
Max 

656 
350 

656 


Distribution 
0-lmo 


of Ca 
-4mo 


ses by Elq 
4-l2mo 


psed Time (cases) 
l-2yr 2yr+ 

1 




1 


N 
(cases) 


Prefiearing Application / 

Referral to CALJ 


All 
Cases 


1 
1 


2 




1 


1 



3 

3 


2 

5 

7 


Hearing Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


838.0 
296.0 

567.0 


838 
296 

296 


838 
296 

838 
















1 


1 








1 




1 


! 
1 


2 




All 

Other 

Cases 


76 

77 

78 

76-78 


163.0 

487.8 

90.0 

415.5 


163 

125 

90 

90 


163 

831 

90 

831 











1 
1 


1 

3 

4 



4 


4 




1 



1 


1 

8 

1 

10 


Posthearing ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


- 


—" 


- 









































All 

Other 

Cases 


76 

77 

78 

76-78 


3.0 

5.3 



4.5 


2 





4 

48 



48 


2 

8 

1 

II 




1 



1 





















2 
9 

1 
12 


Total Time Application / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


1002.0 
1002.0 


1002 
1002 


1002 
1002 




























1 



1 




1 


1 




All 

Other 

Cases 


76 

77 

78 

76-78 


831.5 
575.0 

660.5 


823 
278 

278 


840 
854 

854 















2 

2 








2 
2 


4 


2 

4 

6 



307 



TEME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing- 



Item 



Prehearing ALJ preheoring 
& Hearing and hearing: 
Time separate 

days per cose 



Parties 



Paperwork 



ALJ prehearing 
and hearing; 
hours per case 



ALJ Travels 
hours per cose 



FY 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Petitioners, respon- 76 
dents, interveners 77 

(including agency); 78 

number per case 76-78 



Evidentiary docu- 
ments (excluding 
briefs); 
number per cose 

Transcripts; 
pages per cose 



Briefs: 

pages per case 



Exhibits; 
pages per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Contested 76 

motions; 77 

number per case 78 

76-78 



Written opinions 
by ALJ: 

pages per cose 



76 

77 

78 

76-78 



Time/Effort (days, pages, etc.) 
Avg Min Max 

1,0 



2.0 


1 


3 


1.7 


1 


1 


4.5 


1 


8 


4.5 


1 


8 




















3.5 
2.3 
2.0 
2.5 


2 
2 

2 
2 


5 
4 
2 
5 


21.0 

15.7 

9.0 

16.0 


15 
9 
9 
9 


27 

41 

9 

41 


24.0 
94.0 


24 



24 
274 



76.5 



57.5 



50 



274 



67.0 


31 


103 


67.0 


3I 


103 


50.0 
65.0 


50 
65 


50 
65 



65 



.8 





2 


.8 





2 


16.0 


9 


23 


16.0 


9 


23 



FY: 




76 


77 


78 


76-78 


Numbers 




1 


3 







4 


Distribution of Coses by Time 


/Effort Item 


0-2 ; 


J-9 




10-59 


60-199 




2a 


[)+days, etc 


1 








1 


1 


































2 


1 

















1 




1 




















1 




1 





































2 





































2 

1 




1 


















7 


2 















1 


















9 


3 





















2 















1 


9 















1 


















2 


II 














1 




1 


1 













1 




1 




1 



1 












1 



























1 




1 
































1 




1 













1 























1 
































1 




1 


























4 





































4 








































1 


1 


































1 


1 













N 
(cases) 



2 



3 


2 

2 


2 

2 

2 

9 

I 

12 

2 

10 

1 

13 

I 

3 

4 


2 

2 



Procedures — 

The proceeding is initiated by an application from an 
interested person. If the staff's recommendation that a 
hearing t>e held is followed, the Commission will issue an 
"order for proceeding" which generally gives notice of hearing 
and coincides with the referral of the case to the CALJ's 
office. Unless the case is settled or unless a decision is 
waived by the parties and not required by the Commission, 
the ALJ makes an initial decision. 



Normally the parties have 30 days after the close of the 
hearing to submit proposed findings and briefs. Initial 
decisions are final unless, within 15 da/s, a petition for 
review is filed with the Commission. Review is 

discretionary. The Commission may review on its own motion 
within 30 days. The period for submitting briefs to the 
Commission is 30 days. 



308 



Agency: SECURITIES AND EXCHANGE COMMISSION 

Case type: Public Utility Holding Company Act of 1935 
Regulation Exemptions 



Case-Closed Cords Submitted— 

FY: 76 77 78 76-78 

Number: 3 3 I 7 



MANNER OF TERMINATION (number of coses) 

Not on Merits- 76 77 78 76-78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ IHearing &. Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



AGENCY REVIEW (number of coses) 

































1 


1 

















2 





2 


3 


1 





4 















Review- 


76 


77 


78 


76-78 


Yes: 
No: 



3 


2 

1 



1 


2 

5 


Result- 










Affirm 
Reverse 
Modify 
Remand/Other 








2 












2 






ELAPSED TIME DATA 


Case 
Breakdown FY 


Elapsed Time (days) 
Avg Min Max 


Distributior 


of Coses by Elapsed Time (coses) 


N 


Stage of Case 


0-lmo 


-4mo 


4-l2mo 


l-2yr 


2yr+ 


(coses) 


Prefiearing Application / 

Referral to CALJ 


All 
Coses 


76 

77 

78 

76-78 


346.7 
346.7 


112 
112 


781 
78! 








1 

Q 

1 


1 




1 








1 




1 


3 


3 


Hearing Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


378.7 
518.7 

448.7 


228 

144 

144 


602 
810 

810 















2 

1 


3 


1 
1 


2 




1 



1 


3 
3 

6 




All 

Other 
Cases 


76 

77 

78 

76-78 


377.0 
377.0 


377 
377 


377 
377 























1 
1 










1 

1 


Postheoring ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


845.5 
845.5 


844 
844 


847 
847 



























2 

2 



2 

2 




All 

Other 

Cases 


76 

77 

78 

76-78 


4.0 



2.4 


2 





6 


6 


3 

1 
1 

5 


























3 
1 
1 

5 


Total Time Application / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


- 


~ 


- 











































All 

Other 

Cases 


76 

77 

78 

76-78 


729.3 
729.3 


346 
346 


1385 
1385 














1 




1 


1 




1 


1 




1 


3 


3 



309 



TIME AND EFFORT AT THE HEARSNG STAGE 



Cases with full or partial hearing— 

FY: 76 77 78 76-78 

Number: 3 3 6 

Time/Effort (days, poges, etc.) Oistriixrtion of Cases by Time/Effort Item 



N 







Item 


FY 

76 

77 

78 

76-78 


Avg 

4.7 
16.3 

10.5 


Min 

3 

1 

1 


Max 


0-2 


1 


1 


3-9 

3 


3 


10-59 


60-199 







200+days, etc. 







(coses) 


\- 


Prehearing 
& Hearing 
Time 


ALJ preheoaring 
and hearing: 
separate 
days per cose 


6 
24 

24 



2 

2 


3 
3 

6 


* 




ALJ prehearing 
ond hearing: 
hours per cose 


76 

77 

78 

76-78 


17.3 
106.7 

62.0 


10 

1 

1 


30 
195 

195 




1 



1 








3 


3 



2 

2 








3 
3 

6 






ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 





















2 
2 

4 


























2 

2 

4 




Parties 


PetitionerSs respon- 
dents, interveners 
(incltxJing agency): 
number per cose 


76 

77 

78 

76-78 


9.7 

6.7 

13.0 

8.9 


2 
2 

13 
2 


21 
9 
13 

21 


1 
1 


2 


1 

2 

3 


1 



1 

2 














3 
3 
1 
7 




Paperwork 


Evidentiary docu- 
ments (excluding 
briefs): 
number per case 


76 

77 

78 

76-78 


34.7 
287.0 

13.0 
139.7 


32 
9 

13 
9 


40 
426 

13 
426 










1 


1 


3 

1 

4 









2 

2 


3 
3 

1 
7 






Transcripts: 
pages per cose 


76 

77 

78 

76-78 


456.7 
1416.0 

936.3 


154 
22 

22 


735 
2H3 

2M3 
















1 


1 


1 




1 


2 
2 

4 


3 

3 

6 






Briefs: 

pages per case 


76 

77 

78 

76-78 


262.0 

313,0 

77.0 

245.4 


233 

313 

77 

77 


291 
313 

77 
313 























1 

1 


2 
2 

4 


2 

2 
1 
5 






Exhibits: 
poges per cose 


76 

77 

78 

76-78 


20 L7 
n77.3 

689,5 


55 
82 

55 


400 
1725 

1725 














1 




1 


1 
1 


2 


1 

2 

3 


3 

3 

6 






Contested 
motions: 
number per cose 


76 

77 

78 

76-78 


1.5 


.8 








3 


3 


1 

2 

3 


1 




1 




















2 
2 



4 






Written opinions 
by ALJ: 
pages per case 


76 

77 

78 

76-78 



38.0 

19.0 



38 





38 

38 


2 


2 









2 

2 














2 
2 



4 


Procedures- 























The proceeding is initiated by an application. If the staff's 
recommendation that a hearing be held is followed, the 
Commission will issue an "order for proceeding" which 
generally gives notice of hearing and coincides with the 
referral of the cose to the CALJ's office. Unless the case is 
settled or unless a decision is waived by the parties and not 
required by the Commission, the ALJ makes an initial 
decision. 



Normally the parties have 30 days after the close of the 
hearing to submit proposed findinqs and briefs. Initial 
decisions are final unless, within 15 days, a petition for 
review is filed with the Commission, Review is 

discretionary. The Commission may review on its own motion 
within 30 days. The period for submitting briefs to the 
Commission is 30 days. 



310 



Agency: SECURITIES AND EXCHANGE COMMISSION 

Cose type: Investment Advisers Act of 1940 

Revocation or Suspension of Registration 



Case-Closed Cords Submitted — 

FY: 76 77 78 76-78 

Number: 9 7 10 26 



MANNER OF TERMINATION (number of cases) 

Not on Merits- 76 77 78 76-78 

Settlement 6 4 4 14 

Withdrawal 

Dismissal 

Other 2 1 3 



On Merits— 

ALJ Hearing & Decision 2 15 8 

ALJ Hearing w/o Decision 

ALJ Decision w/o Hearing 



6 


4 


4 























2 


I 


2 


I 


5 


I 


















AGENCY REVIEW (number of cases) 
Review— 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



8 



76-78 

8 

18 



ELAPSED TIME DATA 




























Case 




Elapsed Time 


(days) 


Distribution of Cases by Elapsed Time (cases) 


N 


Stage of Cos 


e 
Formal order of 


Breakdowi 


n FY 
76 


Avg 

203.4 


Min 




Max 

601 


O^lmo 


l-4mo 


4-l2mo 


l-2yr 

2 


2yr+ 




(coses) 


Prehearing 


All 


2 


3 


2 


9 




investigation / 


Cases 


77 


479.1 





1375 


1 


2 





2 


2 


7 




Referral to CALJ 




78 


196.9 





796 


2 


3 


2 





1 


8 








76-78 


281.7 





1375 


5 


8 


4 


4 


3 


24 


Hearing 


Referral to CALJ / 


With ALJ 


76 


413.3 


120 


727 





1 





2 





3 




ALJ's decision 


Hearing on 77 


31.0 


31 


31 





I 











1 






Merits 


78 


215.2 


135 


336 








5 








5 








76-78 


260.8 


31 


727 





2 


5 


2 





9 






All 


76 


165.7 


(,^ 


361 





2 


4 








6 






Other 


77 


164.7 


83 


319 





I 


5 








6 






Cases 


78 


315.4 


194 


455 








4 


1 





5 








76-78 


209.4 


69 


455 





3 


13 


I 





17 


Postheoring 


ALJ's decision / 


With 


76 


299.0 


299 


299 








1 








1 




Final agency 


Agency 


77 


34.0 


34 


34 





1 











I 




action 


Review 


78 


287.0 


48 


649 





2 


2 


2 





6 








76-78 


256.9 


34 


649 





3 


3 


2 





8 






All 


76 


10.9 





66 


7 


1 











8 






Other 


77 











6 














6 






Cases 


78 











4 














4 








76-78 


4.8 





66 


17 


I 











18 


Total Time 


Formal order of 


With 


76 


900.0 


900 


900 














I 


1 




investigation / 


Agency 


77 


65.0 


65 


65 





1 











1 




Final agency 


Review 


78 


749.0 


339 


1430 








2 





2 


4 




action 




76-78 


660.2 


65 


1430 





1 


2 





3 


6 






All 


76 


433.9 


104 


1048 





I 


3 


2 


2 


8 






Other 


77 


723.7 


199 


1503 








2 


1 


3 


6 






Cases 


78 


494.0 


194 


1103 








2 


1 


1 


4 








76-78 


548.3 


104 


1503 





1 


7 


4 


6 


18 



311 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing- 















FY: 




76 




77 78 


76-78 
















Number: 




3 




3 8 


14 










Time/Effort (days, pages, etc.) 


Distribut 


on of Cases by Time/Effort Item 


N 




Item 


FY 

76 
77 
78 

76-78 


Avg 

4.3 
1.0 
3.0 
3.0 


Min 

1 
1 
1 

1 


Max 


0-2 3-9 

2 
2 
2 3 
6 3 


10-59 


60-199 200Hiays, etc. 







(cases) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearing: 
separate 
days per case 


II 
1 
5 

II 




1 




1 


3 
2 

5 
10 




ALJ prehearing 
and hearing: 
hours per case 


76 

77 

78 

76-78 


23.7 

3.5 

15.0 

15.3 


5 
1 
1 

1 


58 
6 

34 
58 



1 
1 
2 


2 

1 

2 
5 




1 


3 
4 














3 
2 

6 
II 




ALJ Travel: 
hours per cose 


76 

, 77 

78 

76-78 


12.5 

6.0 

20.7 

15.8 


12 
4 




13 

8 

35 

35 






1 
1 



2 

2 




2 


5 
7 














2 
2 

6 
10 


Parties 


Petitioners, rospom- 
dents, interveners 
(including agency)? 

number per case 


76 

77 

78 

76-78 


4.9 
3.9 
3.4 
4.0 


2 
2 
2 
2 


21 
8 
6 

21 


3 
1 

2 
6 


4 
6 
8 
18 




1 




1 














8 

7 

10 

25 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs): 
number per ctise 


76 

77 

78 
76-78 


33.3 
13.9 
51.5 
35.9 


3 
7 
9 
3 


153 
26 
117 
153 








4 
3 

1 
8 




4 
3 

5 
12 


1 


4 
5 








9 

6 

10 

25 




Transcripts: 
poges per case 


76 

77 

78 

76-78 


555.3 

90.0 

261.3 

306.3 


132 
16 
II 
II 


1354 
164 
677 

1354 


















1 
1 
2 


2 
1 

3 
6 


1 


3 

4 


3 

2 

7 

12 




Briefs: 

pages per cose 


76 

77 

78 

76-78 


89.3 

31.0 

117.0 

IGO.I 


39 
31 
34 
31 


127 

31 

241 

241 
















1 
1 
1 
3 


2 

4 
6 





1 
1 


3 

1 

6 
10 




Exhibits: 
pages per cose 


76 

77 

78 

76-78 


397.0 

45.0 

342.8 

329.8 


125 
45 
22 
22 


766 

45 

675 

766 


















1 
1 
2 


1 


2 
3 


2 


3 
5 


3 

1 

6 
10 




Contested 

motions: 
number per cose 


76 
77 
78 

76-78 


4.0 

2.3 
3.2 


1 





10 

5 

10 


2 

2 

4 





1 
1 




1 



1 














3 

3 
6 




Written opinioro 
by ALJ; 
poges per case 


76 

77 

78 

7^78 


20.0 
22.0 
28.4 
25.5 


10 
22 
20 
10 


30 
22 
51 
51 
















2 

1 

5 
8 














2 

1 

5 
8 



Prcosdures— 

The proceeding is initiated when the Commission issues a 
formal order of investigation. If the staff's recommendation 
that a hearing be held is followed, the Commission will issue 
on "order for proceeding" which generally gives notice of 
hearing and coincides with the referral of the case to the 
CALJ's office. Unless the case is settled or unless a decision 
is waived by the parties and not required by the Commission, 
the ALJ makes an initial decision. 



Normally the parties have 30 days after the close of the 
hearing to submit proposed findings and briefs. Initial 
decisions are final unless, within [5 days, a petition for 
review is filed with the Commission. Review is 
discretionary. The Commission may review on its own motion 
within 30 days. The period for submitting briefs to the 
Commission is 30 days. 



312 



Agency: SECURITIES AND EXCHANGE COMMISSION 

Cose type: Investment Company Act of 1 940 
Exemptions 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: 14 1 6 



MANNER OF TERMINATION (number of cases) 

Not on Merits- 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



1 


3 





4 












































1 


1 





1 





1 















AGENCY REVIEW (number of coses) 
Review- 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 







76-78 


6 



ELAPSED TIME DATA 
Stage of Case 


Case 
Breakdown FY 


Elapsed Time (days) 
Avg Min Max 


Distribution of Cases by Elapsed Time (cases) 
0-lmo l-4mo 'l-l2mo l-2yr 2yr+ 


N 
(cases) 


Preliearing Application / 

Referral to CALJ 


All 
Cases 


76 

77 

78 

76-78 


33.0 
591.3 

451 J 


33 

15 

15 


33 

949 

949 




1 


1 


1 




1 















2 

2 


1 

3 

4 


Hearing Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


410.0 
335.0 
372.5 


410 
335 
335 


410 
335 
410 

















1 
1 




i 



1 










1 
1 
2 




All 

Other 

Cases 


76 

77 

78 

76-78 


182.0 
155.7 

162.3 


182 
57 

57 


182 
306 

306 









2 

2 


1 
1 


2 














1 

3 

4 


Posthearing ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


= 


- 


- 








































All 

Other 

Cases 


76 

77 

78 

76-78 


5.0 

5.0 

74.0 

16.5 


5 



74 




5 
20 
74 
74 


1 

4 

5 





1 
1 





















1 

4 

1 
6 


Total Time Application / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


= 


= 


E 




































. 








All 

Other 

Cases 


76 

77 

78 

76-78 


220.0 
753.7 

620.3 


220 
119 

119 


220 
1255- 

1255 










1 



1 


1 




1 









2 

2 


1 

3 

4 



TIWIE AND EFFORT AT THE HEARING STAGE 



313 



Item 



FY 



Coses with full or partial hearing— 

FYs 76 77 78 76-78 

Number: 3 1 4 



Time/Effort (days, pages, etc.) Distribution of Cases by Time/Effort Item 



N 



Avg 



Min 



Max 



0-2 3-9 10-59 60-199 20atdays, etc (coses) 



Prehearing ALJ prehearing 
& Hearing orKi hearings 
Time sepcB-ote 

days per case 

ALJ prehearing 
and hearings 
hours per cose 



ALJ Travels 
hours per cose 



Parties 



Paperwork 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Petitioners, respon- 76 

dents, intervenors 77 

(including agency); 78 

number per cose 76-78 

Evidentiary docu- 76 

ments (excluding 77 

briefs): 78 

number per cose 76-78 



Transcripts: 
pogesper ctiise 


76 

77 

78 

76-78 


Briefss 


76 


pages per cose 


77 

78 

76-78 


Exhibits: 


76 


pages per cose 


77 

78 

76-78 


Contested 
motionss 
number per cose 


76 

77 

78 

76-78 


Written opinions 
by ALJs 
poges per cose 


76 

77 

78 

76-78 



1.5 


1 


2 


3.0 


3 


3 


2.0 


1 


3 


4.5 


i 


8 


15.0 


15 


15 


8.0 


1 


15 


.4.0 


4 


4 


4.0 


4 


4 


2.0 


2 


2 


3,0 


2 


6 


3.0 


3 


3 


2.8 


2 


6 


9.0 


9 


9 


17.3 


8 


25 


24.0 


24 


24 


17.0 


8 


25 


94.3 


10 


141 


180.0 


180 


180 


115,8 


10 


180 


78*0 


78 


78 


78.0 


78 


78 


275'o 


275 


275 


275.0 


275 


275 


1.5 


1 


2 


1.5 


1 


2 


21.0 


21 


21 


21.0 


2! 


21 




2 

2 


I 


I 






I 

3 


4 






















2 

2 









I 


2 






































































Procedures — 

The proceeding is initiated by an application. If the staff's 
recommendation that a hearing be held is followed, the 
Commission will issue an "order for proceeding" which 
generally gives notice of hearing and coincides with the 
referral of the case 1|o the CALJ's office. Unless the cose is 
settled or unless a debision is waived by the parties and not 
required by the Commission, the ALJ makes an initial 
decision. 



Normally the parties have 30 days after the close of the 
hearing to submit proposed findings and briefs. Initial 
decisions are final unless, within 15 days, a petition for 
review is filed with the Commission. Review is 

discretionary. The Commission may review on its own motion 
within 30 days. The period for submitting briefs to the 
Commission is 30 days. 



314 



Agency: SECURITIES AND EXCHANGE COMMISSION 
Cose type: Suspension of Practitioners 



Case-Closed Cords Submitted — 

FY: 76 77 78 76-78 

Number: 4 5 7 16 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 76-78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



2 


4 


4 


10 














1 





1 


2 



1 




1 


1 
1 


1 
3 



























AGENCY REVIEW (number of coses) 
Review— 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76-78 

I 

15 



ELAPSED TIME DATA 
Stage of Cose 


Case 
Breakdown FY 


Elapsed Time (days) 
Avg Min Max 


Distribution of Coses by Elapsed Time (coses) 
(i-lmo l-4mo 4-l2mo l-2yr 2yr+ 


N 
(coses) 


Prehearing 


Formal order of 
Investigation / 
Referral to CALJ 


All 
Coses 


76 

77 

78 

76-78 


875.8 
909.6 
780.5 
848.9 


506 
393 
110 

no 


1408 
1556 
2459 
2459 










1 
1 








2 
3 
4 
9 


2 
2 
1 

5 


4 

5 

6 

15 


Hearing 


Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


213.0 

397.0 

2160.0 

923.3 


213 

397 

2160 

213 


213 

397 

2160 

2160 














1 




1 




1 


1 




1 
1 


1 
1 
1 
3 






All 

Other 

Coses 


76 

77 

78 

76-78 


514.7 
210.0 
217.8 
283.9 


343 
123 
204 
123 


824 
432 
245 
824 














1 

3 
6 

10 


1 

1 


2 


1 




1 


3 
4 
6 

13 


Post hearing 


ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


952.0 
952.0 


952 
952 


952 
952 





























I 
1 





1 
1 






All 

Other 

Cases 


76 

77 

78 

76-78 


17.5 



4.7 


5 





52 



52 


3 

5 

6 

14 


1 




1 





















4 

5 

6 

15 


Total Time 


Formal order of 
investigation / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


;; 


= 


- 










































All 

Other 

Cases 


76 

77 

78 

76-78 


1332.5 

1157.0 

998.3 

1140.3 


943 
546 
314 
314 


2239 
1953 
2663 
2663 

















1 
1 




1 
1 

2 


4 

4 

4 

12 


4 

5 

6 

15 



315 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or partial hearing- 















FY: 




76 77 


78 


76-78 
















Number: 




1 1 


3 


5 










Tome/Effort (days, pages, etc.) 


Distribut 


on of Cases by T 


ome/Effort Item 


N 




Item 


FY 

76 

77 

78 

76-78 


Avg 

1.0 

1.0 

47.0 

16.3 


Min 

1 

1 

47 

1 


Max 


0-2 3-9 

1 

1 


2 


10-59 60-1 


99 2004days, etc. 







(coses) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearing; 
separate 
days per case 


1 

1 

47 

47 





1 
1 


1 
1 
1 
3 




ALJ prehearing 
and hearing; 
hours per case 


76 

77 

78 

76-78 


8.0 

8.0 

235.0 

83.7 


8 

8 

235 

8 


8 

8 

235 

235 








1 
I 


2 
















1 
1 


1 
1 
1 
3 




ALJ Travels 
hours per case 


76 

77 

78 

76-78 


8.0 

12.0 



6.7 


8 

12 






8 
12 


12 





1 

1 


1 



1 




1 



1 














1 

1 
1 
3 


Parties 


Petitiosners, respon- 
dents, intervertors 
(including agency); 
number per case 


76 

77 

78 

76-78 


2.0 
2.8 
2.3 
2.3 


2 
2 
2 
2 


2 
5 
4 
5 


4 

3 

6 

13 




1 
1 
2 




















4 
4 

7 
15 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs); 
number per case 


76 

77 

78 

76-78 


29.8 
15.4 
77.9 
46.3 


9 
9 
9 
9 


57 

34 

469 

469 








1 

3 
1 
5 


3 
2 

5 
10 











1 

1 


4 
5 

7 
16 




Transcripts; 
pc^es per case 


76 

77 

78 

76-78 


57.0 

92.0 

2104.0 

1089.3 


57 

92 

4 

4 


57 

92 

4204 

4204 












1 
1 


1 




1 




1 



1 





1 
1 


1 
1 

2 
4 




Briefs; 

pages per cose 


76 

77 

78 

76-78 


61.0 
71.0 

66.0 


6! 
71 

61 


61 
71 

71 




















1 
1 


2 








1 
1 


2 




Exhibits; 
pages per cose 


76 

77 

78 

76-78 


370.0 
275.0 

322.5 


370 
275 

275 


370 
275 

370 


























1 
1 


2 


1 
1 


2 




Contested 
motions; 

nomber per cose 


76 
77 
78 

76-78 


1.0 
1.0 
4.0 
2.2 


i 
1 

1 
1 


1 
1 

7 
7 


2 

1 
1 
4 





1 
1 




















2 
1 

2 
5 




Written opinions 
by ALJ; 
pages per case 


76 

77 

78 

76-78 


12.0 
11.0 

11.5 


12 

II 

II 


12 
11 

12 















1 
1 


2 














1 
1 


2 



Procedures- 
Normally the cose is initiated by a formal order of 
investigation. The Commission, after the necessary 
investigation, will issue an order of temporary suspension to 
the practitioner, who may, within 30 days, petition for a 
lifting of the suspension. If not lifted, the petition is set for 
hearing (generally a "nonpublic" hearing). Specific hearing 
and review procedures are not provided for these 



proceedings. Only those referred to the CALJ's office are 
included in these statistics. 

When a practitioner has been convicted of a crime, the 
temporary suspension will follow automatically, though the 
practitioner may still request a hearing. 



317 



SOCIAL SECURITY ADMINISTRATION 



Under both Retirement and Survivors Insurance 
(RSI) and Disability Insurance (Dl) (Title II of the Social 
Security Act, as amended), employees, their employers, 
and self-employed people pay social security 
contributions during working years into special trust 
funds. When the worker retires, dies, or becomes 
disabled, monthly cash benefits are paid from the funds 
to replace part of the earnings the family has lost. 
Monthly benefits are related to the worker's average 
monthly earnings in covered work over a specified 
number of years. 



RSI — Relfiremefrf and Survivors Insurance, Wl U.S.C. 
402 et seq. Statutory hearing requirement, 42 
U.S.C. 405(b). Rules of Practice, 20 CI^R 
404.901-404.990. 

Initial determinations ore made by the 
Administration with respect to the entitlement to 
monthly benefits or lump sum payments under the old 
age insurance program. Title II, 42 U.S.C. 402 et seq. 
Initial determinations may involve the amount of 
benefits to be paid an individual, a recomputation of the 
individual's primary insurance amount (see 42 U.S.C. 
2 1 5(f)), whether there has been an overpayment or 
underpayment, whether a husband, widower or parent 
meets the requirement of support from the insured 
individual, or whether an individual's earnings record 
should be revised. 

Written notice of the Initial determination is sent to 
the party to the determination. A dissatisfied party 
may request in writing that the Administration 
reconsider the determination. The Administration shall 
reconsider the determination upon written request and 
give notice of the reconsidered determination. If still 
dissatisfied, the party has a right to an adjudicative 
hearing before an Administrative Law Judge. The ALJ 
shall make a decision in the case or certify the case to 
the Appeals Council with a recommended decision. 
When the ALJ has certified the case to the Appeals 
Council, the Council shall make the decision. If the 
ALJ has decided the case himself (as is usually the 
case), a dissatisfied party may seek review by the 
Appeals Council which may in its discretion deny or 
grant the request for review. The Council may, on its 
own motion, remove to itself cases pending before or 
decided by an ALJ, though this practice has been largely 
discontinued in recent years. After final action by the 
Appeals Council a dissatisfied party may file a civil 
action for relief in a federal district court. 



Dl and DWIB — Disability Insurance Benefits (includirDg 
disabled widow/ers), 42 U.S.C. 421 et seq. 
Statutory hearing requirement, 42 U.S.C. 421(d). 
Rules of Practice, 20 CFR 404.901-404.990. 

Initial determinations are made by the Adminis- 
tration with respect to the entitlement to monthly 
benefits or lump sum payments under the disability 
insurance program. Title II, 42 U.S.C. 421 et seq. Initial 
determinations may involve the amount of benefits to 
be paid an individual, reduction or suspension of 
benefits, or establishment or termination of a period of 
disability (this determination may be made by a state 
agency when required by a Federal-State agreement 
pursuant to 42 U.S.C. 421(b)). 

Additional procedures are the same as described in 
the discussion of RSI cases. 



There are three additional types of SSA cases: 

HI — Hospital and Supplemental Medical Insurance 
(including providers of services cases), 42 U.S.C. 
1395c et seq. Statutory hearing requirement, 42 
U.S.C. I395ff(b). Rules of Practice, 20 CFR 
404.901-404.990, 42 CFR 405.701-405.750, 42 
CFR 405.1501-405.1595. 

The Medicare program (Title XVIII) has two parts- 
hospital insurance (Part A) and supplemental medical 
insurance (Part B). Medicare hospital insurance, like 
the RSI and Dl programs, is financed on a self- 
supporting basis through contributions on current 
earnings paid by employees, employers, and self- 
employed persons. The hospital insurance trust fund 
makes payments for covered hospital services, as well 
as for post-hospital skilled nursing facility and home 
health services. 

The supplemental medical insurance plan helps pay 
for doctors' services, outpatient hospital services, and 
many other medical items and services not covered 
under hospital insurance. The supplemental medical 
insurance is financed through a trust fund into which go 
premiums from those eligible persons who are enrolled 
and Federal general revenue contributions sufficient to 
meet the full cost of the program. 

Initial determinations are made by the 
Administration, designated intermediaries, or the 
Secretary, with respect to the "Medicare program", 
Title XVIII of the Act. 



318 



Initial determinations include: 

a) The entitlement of an individual to coverage 
under the hospital insurance program, k2 U.S.C. 1395c 
et seq., and under the supplemental medical insurance 
program, 42 U.S.C. 1395 et seq. These determinations 
are made under the procedures in 20 CFR 40'^.90l- 
404.990, as described in the discussion of RSI cases. 

b) Determinations made by an SSA designated 
intermediary on the basis of a request for payment by a 
covered individual who has received hospital care. 
These determinations include the coverage of items and 
services furnished, the amount deductible, number of 
days of care, beginning and ending of illness, medical 
necessity of service, etc. In some cases a provider of 
services (see paragraph c below) has provided services 
to an individual and then requested payment on behalf 
of that individual. The intermediary may determine 
that such items and services were not covered and that 
the individual or provider knew or should have known 
this. These determinations, reconsideration (by the 
Administration) and hearings are governed by 42 CFR 
405.701—405.750, and the procedures are generally the 
same as in RSI coses. However, the right to a hearing 
before an ALJ is subject to an amount-in-controversy 
requirement of $100, and a civil action may be filed in 
the district court only where the amount in controversy 
after final action by the Appeals Council is $1,000 or 
more. 

c) Determinations made by the Secretary of HEW 
with respect to whether an institution, facility, agency 
or clinic is a provider of services under 42 U.S.C. 
I395x(e) or whether such status should be terminated 
according to 42 U.S.C. I395cc. (Other similar questions 
may arise with respect to the status of laboratories, x- 
ray services, and providers of emergency hospital 
services.) The procedures governing this determination, 
reconsideration, hearing before an ALJ and review by 
the Appeals Council are set forth in 42 CFR 405,1501 — 
405.1595, and are similar to those followed in RSI cases. 



BL — Block Lung Benefits, 30 U.S.C. 901 et seq. 
Statutory hearing requirement, 30 U.S.C. 923, 
Rules of Practice 20 CFR 410.600-410.699. 

Note: Pursuant to Pub. L. 92-303, May 19, 
1972, the Social Security Administration has 
jurisdiction only over those claims filed before 
June 30, 1973. Those claims filed after December 
31, 1973, are under the jurisdiction of the 
Department of Labor (or approved State 
workmen's compensation plans; see 30 U,S,C. 
925). Those claims made during the transition 
period (July 1, 1 973— December 31, 1973) ore also 



administered by the Department of Labor, but 
after consultation with the Secretary of HEW; see 
30 U.S.C. 925. Accordingly, the number of new BL 
cases in the SSA system is steadily decreasing. 
The Black Lung Program was authorized in Title IV 
of the Federal Coal Mine Health and Safety Act of 
1969, as amended by the Black Lung Benefits Act of 
1972. The Act provides for benefits to miners "totally 
disabled" by pneumoconiosis (black lung disease) and to 
certain dependents of deceased miners who died of 
pneumoconiosis or were totally disabled from 
pneumoconiosis at the time of death. The cost of the 
program is paid from Federal general revenues. 
Primary responsibility for administering the black lung 
program for future claimants was transferred to the 
Department of Labor on July I, 1973. However, the 
Social Security Administration will continue to have 
responsibility for (1) live miner claims filed prior to that 
date where eligibility to benefits is established for June 
1973; (2) survivors' claims of entitled miners, and (3) 
survivors' claims where the miner died prior to 
December 31, 1973, and a claim was filed on or before 
December 31, 1973, or within 6 months of death, 
whichever is later. 

Initial determinations are made by the 
Administration (or approved state agency) with respect 
to whether an individual is or has ceased to be under a 
total disability or with respect to the amount of 
benefits to which the individual is entitled. These 
determinations, reconsiderations (by the 

Administration), adjudicatory hearings and appeals are 
governed by 20 CFR 410.600-410.699, and the 
procedures are generally the same as in RSI cases. 



SSI — Supplemental Security Income, 42 U.S.C. 1381 et 
seq. Statutory hearing requirement, 42 U.S.C. 
1383(c). Rules of Practice, 20 CFR 416 et seq. 

The Supplemental Security Income program (Title 
XVI), effective January 1, 1974, provides basic 
assistance payments to those eligible aged, blind, and 
disabled persons who can qualify on the basis of need. 
The Supplemental Security Income program replaced 
existing financial assistance programs for the aged, 
blind, and disabled in the 50 states and the District of 
Columbia. Nationally uniform eligibility requirements 
replaced the multiplicity of requirements that existed in 
the Federal-State welfare programs for the aged, blind, 
and disabled that were administered by state and local 
agencies. The cost of the' program is paid from Federal 
general revenues. 

Title XVI, as amended in 1972, effective January I, 
1974, established a national program to transfer from 



319 



the states to the SSA primary responsibility for welfare 
aid to the aged, blind and disabled. However, in these 
amendnnents Congress was not explicit as to whether 
hearings required under the amendments had to be 
presided over by ALJs, and the Civil Service 
Commission refused to classify the hearing examiners 
employed by the SSA to hear these cases as ALJs. This 
controversy was not resolved until January 2, 1976, 
when Congress passed Pub. L, 94-209 making the SSI 
hearing examiners ALJs until the end of 1978. 
Subsequently in Pub. L. 95-216 these "temporary" ALJs 



were given permanent positions. 

In our previous volume covering fiscal year 1975, 
SSI cases were not within our definition of cases heard 
by ALJs, although we did provide some summary 
caseload statistics for SSI cases. In this volume we are 
providing complete information on SSI cases. Note that 
in SSI cases, Issues involving Title II questions are often 
present along with Title XVI issues. For statistical 
purposes, the cases are divided into those containing 
Title XVI issues only (SSI-0) and those with a 
combination of Title II and Title XVI issues (SSI-C). 



FLOW CHART OF THE APPEALS PROCESS 



CLAIMANT 
REQUESTS 
HEARING 



iAU 
HOLDS 
HEARING 



CLAIMANT 



T 



Unfavorable 



— r DECISION y 



Own Motion 



Review 



u 



f DECISION TO"^l? ' 
I gEQUEST REVIEiy — •" 



Appeal" 



If "No Appeal" 




DISMISSAL 




APPEALS COUNCIL 



( DECISION \ 



Favorable 



SSA PAYS 
-H BENEFITS 
TO CLAIIVIANT 



REMAND 

(ToALJ) 




Favorable 



Unfavorable -2/ 



CLAIMANT HAS RIGHT OF APPEAL TO U. S. DISTRICT COURT 



Basic Steps in the Appeals Process 

1. ALJ holds bearing upon receipt of claimant's 
request and makes decision, or issues a deci- 
sion on-the-record, or issues a dismissal of the 
hearing request 

2. Subject to Own Motion review by Appeals 
Council, if the hearing decision is favorable, 
SSA pays benefits. (In a Title XVIII case in- 
volving a provider of services or independent 
laboratory, SSA certifies or continues certifi- 
cation for participation or coverage in the 
program). 



The claimant has the right to request the Ap- 
peals Council to review the ALJ's decision. 
The granting of review is discretionary. 
The Appeals Council may either grant, deny, 
or dismiss a claimant's request for review or 
review on its Own Motion. 
If the Appeals Council decision is favorable, 
SSA pays benefits as for Step 2. 
If the Appeals Council finds that the hearing 
decision is not proper and that additional evi- 
dence is required, it may vacate the decision 
and remand the case to an ALJ, or it may 
develop the case and issue its own decision. 



If the Appeals Council decision is unfavor- 
able, claimant has 60 days to appeal to a U.S. 
District Court. 

The court can either issue a decision or re- 
mand the case to the Secretary for further 
action. 



' All hearing decisions are subject to Own Motion review 
by the Appeals Council. See followins page describins the 
Own Ivlotion procedure and the Appeals Council Actions 
section for analysis and table of Own Motion actions 

' Includes I>nials of Request for Review. 



Sources Operational Analysis of the Bureau of Hearings and Appeals (SSA-HEW), September 30, 1978, p. 15. 



320 



Social Security AAninistration Statistics 

All SSA statistics were prepared by the Division of Administration, Management Information Systems Branch, 
Office of Hearings and Appeals, SSA. 

SSA fiscal year and reporting quarters are as follows: 



Quarter 



FY 76 



FY 77 



1st Quarter 


6/22/75 


to 


9/13/75 


10/3/76 


to 


12/31/76 


2d Quarter 


9/14/75 


to 


1/3/76 


1/1/77 


to 


3/31/77 


3d Quarter 


1/4/76 


to 


3/27/76 


4/1/77 


to 


6/30/77 


4th Quarter 


3/28/76 


to 


6/19/76 


7/1/77 


to 


9/30/77 


Transitional Qtr. 


6/20/76 


to 


10/2/76 









FY 78 

10/1/77 to 12/31/77 

1/1/78 to 3/31/78 

4/1/78 to 6/30/78 

7/1/78 to 9/30/78 



A (I), Hearing Level (by Fiscal Year) 



1. CASELOAD DATA 



Fiscal Year 



Total Cases 
Pending at 
Start of FY 



FY 1976 (Includes Transition Quarter) 

RSI 1,625 

Dl & DWIB 50,724 

HI 1,150 

BL ' 24,315 

SSI-0 17,041 

SSI-C 16,314 

Total Cases 111,169 



New 
Coses 



4,258 

105,481 

1,643 

5,668 

41,012 

45,044 

203,106 



Dispositions 



3,596 

110,362 

1,849 

28,649 

43,423 

41,480 



Total Coses 
Pending at 
End of FY 



229,359 



2,287 


45,843 


944 


1,334 


14,630 


19,878 



8^,916 



FY 1977 



RSI 

Dl &DWIB 

HI 

BL 

SSl-0 

SSI-C 

Total Cases 



2,287 

45,843 

944 

1,334 
14,630 
1 9,878 
84,916 



4,870 

95,796 

1,563 

1,455 

41,723 

48,250 

193,657 



4,627 

95,361 

1,593 

2,010 

37,816 

45,415 

186,822 



2,530 

46,278 

914 

779 

18,537 

22,713 

91,751 



FY 1978 



RSI 

Dl &DWIB 

HI 

BL 

SSI-0 

SSI-C 

Total Coses 



2,674 
47,348 

1,024 

504 

18,995 

23,219 

93,764 ° 



5,406 

91,837 

3,447 

461 

44,826 

. 50,451 

196,428 



5,806 

103,881 

2,697 

820 

47,930 

54,311 

215,445 



2,274 
35,304 

1,774 

145 

15,891 

19,359 

74,747 



° Adjusted up 2,013 cases from FY 77 repwrt due to conversion from a manual to on automated reporting system. 



Social Security Administration 



(2). Hearing Level CBy Type of Case) 



321 



Type of Cose 



Total Cases 

Pending at 
Start of FY 



New 
Cases 



Dispositions 



Total Cases 
Pending at 
End of FY 



RSI 



, FY 1976 
FY 1977 
FY 1978 


1,625 
2,287 
2,674 ° 


4,258 
4,870 
5,406 


3,596 
4,627 
5,806 


2,287 
2,530 
2,274 


Total Cases 




14,534 


14,029 




Dl & DWIB 

FY 1976 
FY 1977 
FY 1978 


50,724 
45,843 
47,348 *" 


105,481 
95,796 
91,837 


110,362 
95,361 
103,881 


45,843 
46,278 
35,304 


Total Coses 




293,114 


309,604 





HI 



FY 1976 
FY 1977 
FY 1978 

Total Coses 



1,150 
944 
1,024° 



1,643 
1,563 
3,447 

6,653 



1,849 
1,593 
2,697 

6,139 



944 

914 

1,774 



BL 



FY 1976 
FY 1977 
FY 1978 

Total Coses 



24,315 
1,334 
504'' 



5,668 

1,455 

461 

7,584 



28,649 

2,010 

820 

31,479 



,334 
779 
145 



SSl-0 



FY 1976 
FY 1977 
FY 1978 

Total Coses 



17,041 


41,012 


14,630 


41,723 


18,995 ° 


44,826 



127,561 



43,423 
37,816 
47,930 
129,169 



14,630 
18,537 
15,891 



SSI-C 



FY 1976 
FY 1977 
FY 1978 

Total Coses 



16,314 


45,044 


19,878 


48,250 


23,219° 


50,451 



143,745 



41,480 
45,415 
54.311 

141,206 



19,878 
22,713 
19,359 



° Adjusted up from FY 77 report due to conversion from a manual to on automated reporting system. 



322 



B (I). Appeals Council Level (By Fiscal Year) 



Social Security Administration 



Fiscal Year 



Total Coses 
Pending at 
Start of FY 



New 
Coses 



Dispositions 



Total Coses 
Pending at 
End of FY 



FY 1 976 (Includes Transition Quarter) 

RSI 227 

Dl & DWIB 5,624 

HI 106 

BL 4,016 

SSI-0 1,598 

SSI-C 1,076 

Total Cases 12,647 



1,282 


1,232 


277 


26,79! 


27,804 


4,611 


300 


307 


33 


16,231 


18,441 


1,806 


8,876 


9,058 


1,416 


8,260 


8,197 


1,139 



61,740 



65,039 



9,348 



FY 1977 



RSI 

Dl & DWIB 

HI 

BL 

SSI-0 

SSI-C 

Total Coses 



277 
4,611 
99 
1,806 
1,416 
1,139 
9,348 



1,024 

25,408 

270 

997 

7,687 

12,333 

47,719 



1,162 

27,685 

327 

2,620 

8,271 

12.208 

52,273 



139 

2,334 

42 

183 

832 

1,264 

4,794 



FY 1978 



RSI 

Fl & DWIB 

HI 

BL 

SSI-0 

SSI-C 

Total Coses 



139 

2,334 

42 

183 

832 

1,264 

4,794 



1,511 
26,509 
361 
350 
10,143 
13,616 
52,490 



1,499 

24,431 

233 

475 

9,139 

13,123 

48,900 



151 
4,412 
170 
58 
1,836 
1,757 
8,384 



Social Security Administration 



B (2), Appeals Council Level (By Type of Cose) 



323 



Type of Cose 



Total Cases 
Pending at 
Start of FY 



New 
Cases 



Dispositions 



Total Cases 
Pending at 
End of FY 



RSI 



FY 1976 
FY 1977 
FY 1978 


227 
277 
139 


1,282 
1,024 
1,511 


1,232 
1,162 
1,499 


277 
139 
15! 


Total Coses 




3,817 


3,893 




Dl & DWIB 

FY 1976 
FY 1977 
FY 1978 


5,624 
4,611 
2,334 


26,791 
25,408 
26,509 


27,804 
27,685 
24,431 


4,611 
2,334 
4,412 


Total Cases 




78,708 


79,920 





HI 



FY 1976 
FY 1 977 
FY 1978 

Total Cases 



106 
hi 



300 
270 
361 

931 



307 
327 
233 

867 



99 
42 
170 



BL 



FY 1976 


4,016 


16,231 


18,441 


FY 1977 


1,806 


997 


2,620 


FY 1978 


183 


50 


475 


Total Coses 




17,578 


21,536 


SSI-0 








FY 1976 


1,598 


8,876 


9,058 


FY 1977 


1,416 


7,687 


8,27! 


FY 1978 


832 


10,143 


9.139 


Total Cases 




26,706 


26,468 



1,806 

183 

58 



1,416 

832 

1,836 



SSI-C 



FY 1976 


FY 1977 


FY 1978 


Total 



1,076 
1,139 
1,264 



8,260 
12,333 

13,616 

34,209 



8,197 
12,208 
13,123 

33,528 



1,139 
1,264 
1,757 



324 



A. Hearing Level 



II. MANNER OF DISPOSITION 



Social Security Administration 







Total 












Dispositions 


Affirm ° 


Reverse*^ 


Dismissal ^ 


RSI 


FY 1976 


3,596 


1,811 (50.4%) 


1,235(34.3%) 


550(15.3%) 




FY 1977 


4,627 


2,352 (50.8%) 


1,587(34.3%) 


688(14.9%) 




FY 1978 


5,806 


3,071 (52.9%) 


1,966(33.9%) 


769(13.2%) 




Total Cases 


14,029 


7,234(51.6%) 


4,788(34.1%) 


2,007(14.3%) 


Dl & DWIB 












FY 1976 


110,362 


46,541 (42.2%) 


50,464 (45.7%) 


13,357(12.1%) 




FY 1977 


95,361 


38,094 (39.9%) 


46,341 (48.6%) 


10,926(11.5%) 




FY 1978 


103.881 


39,852 (38.4%) 


54,372 (52.3%) 


9,657 (9.3%) 




Total Cases 


309,604 


124,487(40,2%) 


151,177 (4a8%) 


33,940(11.0%) 


HI 


FY 1976 


1,849 


813(44.0%) 


772(41.8%) 


264(14.3%) 




FY 1977 


1,593 


638(40.1%) 


687(43.1%) 


268(16.8%) 




FY 1978 


2,697 


1,305(48.4%) 


849(31.5%) 


543(20.1%) 




Total Cases 


6,139 


2,756 (44.9%) 


2,308 (37.6%) 


1,075(17.5%) 


BL 


FY 1976 


28,649 


19,299(67.4%) 


8, 1 93 (28.6%) 


1,157(4.0%) 




FY 1977 


2,010 


1,021 (50.8%) 


807(40.1%) 


182(9.1%) 




FY 1978 


820 


435 (53.0%) 


304(37.1%) 


81 (9.9%) 




Total Coses 


31,479 


20,755 (65.9%) 


9,304 (29.6%) 


1,420(4.5%) 


SSI-0 














FY 1976 


43,423 


17,336(39.9%) 


19,281 (44.4%) 


6,806(15.7%) 




FY 1977 


37,816 


1 5,040 (39.8%) 


17,199(45.5%) 


5,577(14.7%) 




FY 1978 


47,930 


19,110(39.9%) 


22,395 (46.7%) 


6,425(13.4%) 




Total Coses 


129,169 


, 51,486(39.9%) 


58,875 (45.6%) 


18,808(14.6%) 


SSI-C 














FY 1976 


41,480 


17,329(41.8%) 


18,787(45.3%) 


5,364(12.9%) 




FY 1977 


45,415 


18,710(41.2%) 


21,154(46.6%) 


5,551 (12.2%) 




FY 1978 


54,311 


22,203 (40.9%) 


26,334 (48.5%) 


5,774(10.6%) 




Total Cases 


141,206 


58,242(41.2%) 


66,275 (46.9%) 


16,689(11.8%) 


° Affirrr 


K Affirmation of 


reconsidered in 


tial determination. 






" Reverse: Reversal of reconsidered initial decision. 






*^ Dismissal: Dismissal of appeal from reconsidered initial determination. 





325 



Social Security Adnninistrafiomi 



B. Appeals Council Level 







Total 

Dispositions 


Affirm ° 


Reverse ^ 


Other than Decisions ^ 


RSI 


FY 1976 
FY 1977 
FY 1978 


1,232 
1,162 
1,499 


70 (5.7%) 
26 (2.2%) 
29(1.9%) 


117(9.5%) 
71 (6,1%) 
100(6.7%) 


1,045(84.8%) 
1,065(91.7%) 
1,370(91.4%) 




Total Cases 


3,893 


125(3.2%) 


288 (7.4%) 


3,480 (89.4%) 


Dl & DWIB 

FY 1976 
FY 1977 
FY 1978 


27,804 
27,685 
24,431 


860(3.1%) 
338(1.2%) 
177(0.7%) 


1,588(5,7%) 
910(3,3%) 
808 (3,3%) 


25,356(91.2%) 
26,437 (95.5%) 
23,446 (96.0%) 




Total Cases 


79,920 


1,375(1.7%) 


3,306(4.1%) 


75,239(94.1%) 


HI 


FY 1976 
FY 1977 
FY 1978 


307 
327 
233 


25(8.1%) 

15(4.6%) 

8 (3.4%) 


59(19,2%) 
51 (15.6%) 
32(13.7%) 


223 (72.6%) 
261 (79.8%) 
193(82.8%) 




Total Coses 


867 


48 (5.5%) 


142(16.4%) 


677 (78 J %) 


BL 


FY 1976 
FY 1977 
FY 1978 


18,44! 

2,620 

475 


1,320(7.2%) 
835(31.9%) 
99 (20.8%) 


1,165(6.3%) 
412(15,7%) 
71 (14,9%) 


15,956(86.5%) 

1,373(52.4%) 

305 (64,2%) 




Total Coses 


21,536 


2,254(10.5%) 


1,648(7,7%) 


17,634(81.9%) 


SSI-0 


FY 1976 
FY 1977 
FY 1978 


9,058 
8,271 
9,139 


113(1.2%) 
95 0.1%) 
42 (0.5%) 


242 (2.7%) 
302 (3.7%) 
402 (4.4%) 


8,703(96,1%) 
7,874 (95.2%) 
8,695(95.1%) 




Totol Coses 


26,468 


250(0.9%) 


946(3.6%) 


25,272 (95.5%) 


SSl-C 


FY 1976 
FY 1977 
FY 1978 


8,197 
1 2,208 
13,123 


79(1.0%) 

126(1.0%) 

84 (0.6%) 


157(1,9%) 
343 (2.8%) 
446 (3.4%) 


7,961 (97.1%) 
11,739(96.2%) 
12,593(96.0%) 




Total Coses 


33,528 


289 (0.9%) 


946 (2.8%) 


32,293 (96.3%) 



° Affirm; Affirmation of reconsidered initial determination. 

Reverse; Reversal of reconsidered initial decision. 
'^ Other than Decisions: Appeal from ALJ's decision denied, dismissed, or remanded. Most of 

these dispositions are denials of requests for review. 



326 



Social Security Administration 
III. ELAPSED TIME STATISTICS 
A. Hearing Level (Median elapsed time in days) 

Key: 

RH / HO Claimant's request for hearing filed to claim file received in hearing office 

HO / ALJ Claim file received in hearing office to case assigned to ALJ 

ALJ / DEC or DIS Case assigned to ALJ to ALJ's decision or dismissal of the case 

RH / DEC Request for hearing to ALJ's decision 

RH / DIS Request for hearing to ALJ's dismissal 

RH / DEC or DIS Request for hearing to ALJ's decision or dismissal 



Quarter 


RH/HO 


HO / ALJ 


ALJ / DEC 
or DIS 


RH/DEC 


RH / DIS 


RH / DEC 
or DIS 


RSI Cases 
















FY 1976 


1 


6 


97 


106 


260 


144 


253 




2 


7 


107 


112 


272 


175 


260 




3 


7 


101 


107 


261 


229 


259 




4 


7 


89 


93 


244 


171 


239 




TQ 


6 


N/A 


N/A 


238 


163 


229 


FY 1977 


1 


8 


78 


97 


220 


175 


215 




2 


9 


58 


99 


228 


184 


222 




3 


10 


48 


101 


231 


176 


224 




4 


12 


k\ 


105 


225 


168 


216 


FY 1978 


1 


13 


30 


94 


175 


131 


171 




2 


13 


28 


100 


186 


116 


180 




3 


13 


26 


100 


184 


117 


177 




4 


12 


24 


100 


175 


115 


169 



Dl & DWIB Coses 



FY 1976 


1 


5 


84 


100 


225 


198 


221 




2 


5 


93 


100 


233 


230 


233 




3 


5 


96 


105 


237 


199 


235 




4 


6 


90 


96 


111 


202 


225 




TQ 


6 


N/A 


N/A 


214 


190 


212 


FY 1977 


1 


7 


51 


98 


200 


184 


198 




2 


7 


32 


101 


199 


183 


197 




3 


6 


29 


100 


194 


176 


191 




4 


6 


28 


104 


18! 


160 


178 


FY 1978 


1 


6 


25 


94 


151 


125 


148 




2 


6 


23 


98 


159 


123 


155 




3 


6 


21 


99 


161 


124 


159 




4 


6 


16 


97 


146 


117 


144 



327 



Social Security Administrotion 











ALJ / DEC 






RH / DEC 


Quarter 


RH/HO 


HO / ALJ 


orDIS 


RH / DEC 


RH / DIS 


or DIS 


HI Coses 
















FY 1976 


1 


6 


118 


105 


294 


258 


291 




2 


12 


lis 


93 


270 


222 


265 




3 


7 


133 


103 


305 


230 


295 




k 


7 


120 


9(. 


280 


232 


273 




TQ 


6 


N/A 


HIk 


289 


197 


- 282 


FY 1977 


1 


7 


90 


III 


253 


162 


244 




2 


7 


75 


116 


247 


188 


241 




3 


8 


61 


108 


240 


193 


236 




li 


8 


55 


102 


227 


161 


221 


FY 1 978 


1 


9 


50 


92 


166 


15! 


163 




2 


9 


50 


79 


170 


106 


16! 




3 


8 


56 


63 


166 


123 


155 




k 


8 


62 


82 


178 


157 


175 



BL Coses 
















FY 1976 


1 


5 


231 


108 


350 


333 


350 




2 


5 


270 


114 


365 


345 


365 




3 


6 


171 


126 


363 


167 


359 




4 


7 


108 


94 


478 


336 


474 




TQ 


7 


N/A 


N/A 


204 


287 


207 


FY 1977 


1 


16 


5 


135 


254 


212 


252 




2 


9 


6 


135 


274 


199 


269 




3 


II 


7 


134 


287 


199 


283 




4 


16 


7 


130 


288 


235 


285 


FY 1978 


1 


22 


5 


136 


261 


126 


253 




2 


22 


3 


170 


312 


163 


307 




3 


26 


4 


141 


314 


161 


306 




4 


30 


4 


164 


307 


149 


299 



SSI-0 Coses 
















FY 1976 




N/A 


N/A 


N/A 


N/A 


N/A 


N/A 


FY 1977 


1 


14 


10 


87 


180 


154 


175 




2 


11 


11 


89 


179 


154 


174 




3 


9 


14 


90 


175 


148 


170 




4 


8 


17 


95 


167 


143 


162 


FY 1 978 


1 


7 


20 


90 


141 


124 


139 




2 


7 


19 


90 


146 


124 


142 




3 


6 


18 


90 


151 


126 


147 




4 


6 


14 


91 


138 


no 


134 



328 



Social Security Administration 



Quarter 


RH/HO 


HO / ALJ 


ALJ / DEC 
orDIS 


RH / DEC 


RH / DIS 


RH / DEC 
or DIS 


SSI-C Cases 
















FY 1976 




N/A 


N/A 


N/A 


N/A 


N/A 


N/A 


FY 1977 


1 


14 


23 


99 


215 


191 


211 




2 


10 


20 


103 


210 


188 


207 




3 


8 


21 


104 


203 


185 


200 




4 


7 


24 


109 


192 


172 


189 


FY 1978 


1 


7 


23 


100 


158 


128 


155 




2 


6 


22 


103 


163 


128 


161 




3 


6 


20 


104 


167 


126 


163 




4 


6 


15 


99 


150 


118 


147 



Total Cases 
















FY 1976 


1 


5 


87 


101 


119 


200 


225 




2 


5 


97 


101 


238 


228 


236 




3 


5 


97 


105 


240 


199 


238 




4 


6 


91 


95 


241 


205 


238 




TQ 


6 


N/A 


N/A 


216 


192 


214 


FY 1977 


1 


8 


42 


97 


201 


177 


197 




2 


8 


26 


99 


199 


176 


196 




3 


7 


24 


99 


195 


171 


190 




4 


7 


25 


104 


183 


159 


179 


FY 1978 


1 


7 


23 


95 


152 


125 


149 




2 


6 


22 


98 


159 


125 


155 




3 


6 


20 


98 


161 


125 


158 




4 


6 


16 


96 


147 


116 


144 



329 



Social Security AdministratioiD 

Bo Appeals Council Level (Median elapsed time in days) 

Key: 

AC / DEC Request for review or Appeals Council's own motion review of cose to final decision by AC 

AC / 0-D Request for review or AC's own motion review to a denial of review, dismissal, remand or 

other disposition by the AC 
AC / DEC or 0-D Request for review to final disposition by AC 



AC / DEC 
or 0-D 



89 
108 
134 
120 
116 

92 
76 
62 
55 

55 
62 
57 
57 



PI & PWIB Cases 

FY 1976 I 280 91 95 

84 90 

85 92 
73 77 
71 74 

FY 1 977 I 347 64 67 

78 81 

68 71 

44 45 

FY 1978 I 164 44 44 

57 58 

50 51 

48 50 





Quarter 


AC / DEC 


AC / 0-D 


RSI Cases 






FY 1976 


1 


143 


83 




2 


225 


100 




3 


252 


126 




4 


249 


118 




TQ 


157 


113 


FY 1977 


1 


247 


86 




2 


148 


71 




3 


163 


60 




4 


174 


51 


FY 1978 


1 


138 


54 




2 


119 


62 




3 


137 


56 




4 


145 


56 



1 


280 


2 


293 


3 


317 


4 


335 


TQ 


334 


1 


347 


2 


282 


3 


254 


4 


169 


1 


164 


2 


175 


3 


163 


4 


188 



330 



Social Security Administration 





Quarter 


AC /DEC 


AC / O-D 


HI Cases 






FY 1976 


1 


186 


168 




2 


365 


125 




3 


365 


126 




4 


394 


99 




TQ 


300 


87 


FY 1977 


1 


238 


101 




2 


174 


85 




3 


174 


270 




k 


N/A 


60 


FY 1978 


1 


N/A 


53 




2 


N/A 


69 




3 


90 


61 




4 


225 


53 



AC / DEC 
or O-D 



170 
153 
198 
142 
122 

III 
90 

270 
71 

55 
74 
(,(, 
54 



BL Cases 






FY 1976 


1 


219 




2 


313 




3 


230 




4 


312 




TQ 


312 


FY 1 977 


1 


356 




2 


392 




3 


445 




4 


447 


FY 1978 


1 


421 




2 


762 




3 


317 




4 


N/A 



81 
76 
82 
77 
82 

151 

165 

144 

63 

49 
49 
82 
81 



88 
80 
88 
80 
84 

253 

303 
381 
104 

71 
126 
247 
219 



SSi-O Cases 






FY 1976 




N/A 


FY 1977 


1 


259 




2 


194 




3 


215 




4 


128 


FY 1978 


1 


119 




2 


157 




3 


137 




4 


177 



N/A 

71 
90 
70 
43 

44 
60 
51 
47 



N/A 

74 
92 
71 
44 

46 
61 
53 
49 



331 



Social Security Administrotion 





Quarter 


AC / DEC 


SSl-C Cases 






FY 1976 




N/A 


FY 1977 


1 


256 




2 


218 




3 


249 




4 


16! 


FY 1978 


1 


153 




2 


149 




3 


157 




4 


172 



Total Cases 






FY 1976 


1 


263 




2 


289 




3 


313 




4 


321 




TQ 


322 


FY 1977 


1 


337 




2 


330 




3 


344 




4 


175 


FY 1978 


1 


155 




2 


175 




3 


156 




4 


185 



AC / DEC 
AC/O-O orO-D 



N/A N/A 

68 69 

85 86 

68 70 

42 42 

42 43 

57 58 

50 51 

45 46 



90 94 

84 90 

86 93 

75 79 

76 78 

68 72 
82 85 

69 73 

43 45 

44 45 
58 58 
50 52 
47 49 



332 



U. S. CIVIL SERVICE COMMISSION ° 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1 975 from previous publication) 



Case Type 



FY 



Cases 
Pending at 
Start of FY 



New Cases 

Referred to 

Office of ALJs 



Cases Coses 

Terminated Pending at 
by Agency End of FY 



Hatch Political Activities Act 
State or Local Government Employees 

5 use 1 502 

5 CFR 1 5 1 et seq. 

Proceedings upon complaint to determine whether a state or 
local government employee engaged in prohibited political 
activity. 



(75) 




5 


10 




76 


1 


3 


2 


2 


77 


2 


1 


3 





78 





5 


1 


4 



76-78 



Hatch Political Activities Act 
Federal Government Employees 

5 use 7324Ca), 7325 
5 CFR 733 

Proceedings upon complaint to determine whether a federal 
government employee engaged in prohibited political activity, 
and if so, what sanction is appropriate. 



(75) 












76 


1 





1 





77 





5 


5 





78 





4 


2 


2 



76-78 



Executive Order 1 1491 
Department of Labor Employees 

29 CFR 202, 5 CFR 71 I 

Proceedings to administer the scheme of labor-management 
relations in the federal service. Most cases under Executive 
Order I 1491 were heard by the Department of Labor. The 
U. S. Civil Service Commission heard cases involving 
Department of Labor employees. (Since January I, 1979, 
federal service labor disputes have been governed by the 
provisions of the Civil Service Reform Act of 1978 and are 
administered by the new Federal Labor Relations Authority 
which was created by that Act.) 



(75) 












76 


1 


2 


1 


2 


77 


2 


7 


4 


5 


78 


5 


12 


6 


II 



76-78 



Retirement 

5 use 8312 
5 CFR 83 1 

Proceedings to decide applications for annuities and all 
other claims involving retirement. 



(75) 












76 














77 





1 





1 


78 


1 





1 






76-78 



° The Civil Service Reform Act of 1978, Pub. L. No. 95-454, 92 Stat. I 1 1 I (1978), abolished the U. S. Civil Service Commission. 
Except for Executive Order 1 1491 cases, these types of cases have been handled by the new Merit Systems Protection Board since 
January I, 1979. 



333 



U. S. CIVIL SERVICE COMMISSION ° Kcontinued) 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Case Type 



Cases New Cases Coses Cases 

Pending at Referred to Terminated Pending at 
FY Start of FY Office of ALJs by Agency End of FY 



Salary 



5USC5II5, 5337, 5338 
5 CFR 531.201, 531.401 

Appeal from a denial of a wlthln-grode pay increase. 



(75) 












76 














77 














78 





I 


1 






76-78 



Removal of ALJ 



5 use 7521 
5 CFR 930.221 



930.224 



Proceedings in which an Administrative Law Judge 
appointed under 5 USC 3105 may be removed for good cause 
upon charges brought by the employing agency. 



(75) 

76 
77 
78 



76-78 



Cases of Other Agencies 



Miscellaneous proceedings of other agencies where the 
agency lacks an ALJ or is temporarily understaffed. 



(75) 












76 





5 


3 


2 


77 


2 


1 


2 


1 


78 


I 


2 


2 


1 



76-78 



*■ The Civil Service Reform Act of 1978, Pub. L. No. 95-454, 92 Stat. I 1 1 1 (1978), abolished the U. S. Civil Service Commission. 
These types of cases have been handled by the new Merit Systems Protection Board since January I, 1979. 



334 



Agency: U.S. CIVIL SERVICE COMMISION 

Cose type: Hatch Political Activities Act 

State or Local Government Employees 



Case-Closed Cords Sulxnitted— 

FY: 76 77 78 76-78 

lumber: 2 8 1 II 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



















































2 


8 





10 




















1 


1 



AGENCY REVIEW (number of cases) 



Review- 
Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 77 78 76-78 



ELAPSED TIAAE DATA 





Case 
Breokdowi 


1 FY 

76 

77 

78 

76-78 


blapsed 


Time 


[days; 


Dtstrrbution of Ca 


ses by Ela 


psed Time (cases 


> N 


Stage of Case 


Avg 

222.0 
212.8 

214.6 


Min 

178 
7 

7 


Max 

,266 
468 

468 


0-lmo 


l-4mo 


'H2mo 


l-2yr 



1 


1 


2yr+ 







(cases) 


Prehearing Complaint / 

Referral to CALJ 


All 
Cases 




1 


1 








2 
6 

8 


2 

8 



10 


Hearing Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


148.5 
177.6 

171.8 


110 
76 

76 


187 
293 

293 








1 
1 


2 


1 
7 

8 














2 

8 

10 




All 

Other 

Cases 


76 

77 

78 

76-78 


71.0 
71.0 


71 

7! 


71 

71 











1 
1 























1 

1 


Postheoring ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


246.0 
52.7 
97.0 
79.1 


246 
3 

97 
3 


246 

144 

97 

246 



3 

3 



2 

1 
3 


1 

2 

3 














1 

7 
1 
9 




All 

Other 

Coses 


76 

77 

78 

76-78 




















1 
1 


2 


























1 
1 


2 


Total Time Complaint / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


611.0 
390.9 

418.4 


61! 
195 

191 


611 
713 

713 















3 

3 


1 

4 


5 









1 

7 

8 




All 

Other 

Coses 


76 

77 

78 

76-78 


376.0 
756.0 

566.0 


376 
756 

376 


376 
756 

756 





















1 




1 




1 



1 


1 
1 


2 



335 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing — 

FYi 76 77 78 76-78 

Number: 2 8 10 



Time/Effort (days, pages, etc.) 





Item 


FY 


Avg 


Min 


Max 


0-2 


3-9 


10-59 


60-199 


2(X)+days, etc. 


(cases) 


Prehearing 

& Heoring 
Time 


ALJ prehearing 
and hearings 
separate 
days per cose 


76 

77 

78 

76-78 


1.0 

1.0 

1.0 


1 
1 

1 


1 
1 

1 


2 

8 

10 


























2 
8 

10 




ALJ prehearing 
and hearings 
hours per cose 


76 

77 

78 

7^78 


4.0 
4.5 

4.4 


3 
2 

2 


5 
8 

8 



2 

2 


2 
6 

8 




















2 
8 

10 




ALJ Travel: 
hours per case 


76 

77 

78 

76-78 


32.0 
22.9 

24.7 


28 
5 

5 


36 
90 

90 










1 


1 


2 

6 

8 




1 



1 








2 

8 

10 


Parties 


Petitioners, respon- 
dents, intervenors 
(including cgencyh 
number per case 


76 

77 

78 

76-78 


3.5 
2.1 
2.0 
2.4 


3 
2 
2 
2 


4 
3 
2 
4 



7 

1 
8 


2 

1 


3 





















2 

8 

1 
11 


Paperwork 


Evidentiary docy- 
ments (excluding 
briefs): 
number per case 


76 

77 

78 

76-78 


10.5 
18.5 
25.0 
17.5 


9 

4 

25 

4 


12 

50 
25 
50 








1 

2 

3 


1 

6 

1 
8 















2 
8 
1 

11 




Transcripts: 
pages per cose 


76 

77 

78 

76-78 


114.5 
102.9 

105.2 


108 
44 

44 


121 
177 

177 















3 

3 


2 
5 


7 









2 

8 



10 




Briefs: 

poges per case 


76 

77 

78 

76-78 


16.5 

7.8 
54.0 
13.5 


9 



54 




24 
21 
54 
54 



3 

3 


1 

3 

4 


1 
2 

1 
4 















2 

8 

1 

II 




Exhibits: 
pages per cose 


76 

77 

78 

76-78 


55.5 
49.2 
100.0 
54.9 


36 

13 

100 

13 


75 
100 
100 
100 








1 






1 

5 

6 



3 
1 
5 








2 
8 

1 
11 




Contested 
motions: 
number per case 


76 
77 
78 

76-78 


,5 


.1 








1 



1 


2 

8 

10 


























2 
8 

10 




Written opinions 
by ALJ: 
pages per cose 


76 

77 

78 

76-78 


13.0 
10.5 
12.0 
II. 1 


4 
7 
12 
4 


22 
20 
12 
22 








1 

5 

6 


1 
3 

1 
5 














2 

8 

1 

II 



Procedures — 

The case is initiated when the Commission receives a 
complaint or Information about an alleged violation. The 
General Counsel then has to authorize an investigation. A 
letter of charges is then served on the employee(s) and the 
state or local office employing the employee(s). The 
respondent has 15 days to answer, at which point the case is 
referred to the CALJ and a notice of hearing is sent out. The 
ALJ files his initial decision after opportunity for parties to 
file proposals. Parties have 30 days from the date of service 



of the decision to appeal to the Commission. 

If the ALJ finds that there has been no violation or one 
that does not warrant removal, his initial decision becomes 
the final decision of the Commission unless a party appeals 
within 30 days. Where the ALJ finds a violation warranting 
removal he so recommends to the Commission, which makes 
the final decision. 



336 



Agency: U.S. CIVIL SERVICE COMMISSION 

Case type: Hatch Political Activities Act 
Federal Government Employees 



Case-Closed Cords Submitted— 

FY: 76 77 78 76-78 

Number: 3 2 5 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



2 









































2 











1 









76-78 

2 







AGENCY REVIEW (number of cases) 



Review- 
Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remaixl/Other 



76 77 78 76-78 










ELAPSED TIME DATA 



Stage of Case 



Elapsed Time (days) Distribution of Coses by Elapsed Time (cases) 



Case 

Breakdown FY Avg Min Max 



0-lmo l-4mo 4-l2mo l-2yr 2yr+ 



N 
(cases) 



Prehearing Complaint / 

Referral to CALJ 



All 
Cases 



Hearing 



Referral to CALJ / 
ALJ's decision 



Posthearing ALJ's decision / 
Final agency 
action 



Total Time Complaint / Final 
agency action 



76 

77 

78 

76-78 



787.0 



64 1986 



With ALJ 76 

Hearing on 77 

Merits 78 

76-78 



All 

Other 

Cases 



All 

Other 

Cases 



All 

Other 

Cases 



76 

77 

78 

76-78 



With 76 

Agency 77 

Review 78 

76-78 



76 

77 

78 

76-78 



With 76 

Agency 77 

Review 78 

76-78 



76 

77 

78 

76-78 



323.5 233 414 

601.6 64 1986 



140.5 
140.5 



171.7 



17.5 
17.5 



140 
140 



II 




481.5 384 
481.5 384 



141 
141 



171.7 42 288 



42 288 



24 
24 






579 
579 



958.7 352 2171 



958.7 352 217! 




















2 
2 

3 


3 















I 


























I 

2 



2 
2 

2 


2 
















2 


2 

























2 
2 

































I 




I 



337 



TIME AND EFFORT AT THE HEARINIG STAGE 



Hem 



Time/Effort (days, pages, etc.) 
FY Avg Min Max 



Cases with full or partial hearing— 

FY: 76 77 78 76-78 

Number; 10 2 3 



Distribution of Cases by Time/Effort Item N 

0-2 3-9 I&-59 60-199 200+<3ays, etc (cases) 



Prehearing ALJ prehearing 
& Hearing and hearing: 
Time seporote 

days per cose 

ALJ prehearing 
and hearing; 
hours per case 



ALJ Travel: 
hours per case 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Parties 



Paperwork 



PetitioiTsrs, respon- 76 
dents, interveners 77 

(including agency): 78 

number per cose 76-78 



Evidentiary docu- 
ments {excluding 
briefs): 

number per cose 

Transcripts: 
pages per cose 



Briefs: 

pages per cose 



Exhibits: 

pages per case 



Contested 
motions: 
number per cose 



Written opinions 
by ALJ; 
pages per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



1.5 
1.0 


1 



2 
2 


1.5 





3 


5.5 
3.5 


3 



8 
8 


8.0 


6 


10 


15.0 
11.5 


6 
6 


24 
24 


3.0 


2 


4 


2.0 
2.6 


2 
2 


2 

4 


22.5 


5 


40 


16.5 
19.5 


13 
5 


20 
40 


26.0 


2 


52 


157.0 
91.5 


98 



216 
216 


167.0 


34 


300 


10.0 
88.5 






20 
300 


200.0 


200 


200 


62.5 
131.3 


50 
50 


75 
200 


.5 





1 


.5 
.5 






1 
1 


14.0 


4 


24 


8.0 
II.O 


5 
4 


II 
24 







I 





















I 































































I 



2 


2 













2 

2 

4 

2 


2 

4 

2 

2 
4 

3 

2 

5 

2 

2 

4 

2 

2 
4 

2 

2 

4 

2 


2 

4 

2 


2 
4 

2 

2 

4 



Procedures — 

The case is initiated when the Commission receives a 
complaint or information about an alleged violation. The 
General Counsel then has to authorize an investigation. A 
letter of charges is then served on the employee(s) and the 
federal office employing the employee(s). The respondent has 
15 days to answer, at which point the case is referred to the 
CALJ and c notice of hearing Is sent out. The ALJ files his 
initial decision after opportunity for parties to file 
proposals. Parties have 30 days from the date of service of 



the decision to appeal to the Commission. 

If the ALJ finds that there has been no violation or one 
that does not warrant removal, his initial decision becomes 
the final decision of the Commission unless a party appeals 
within 30 days. Where the ALJ finds a violation warranting 
removal he so reconrimends to the Commission, which makes 
the final decision. 



338 



Agency: U.S. CIVIL SERVICE COMMISSION 

Case type: Executive Order I 1 49 1 

Department of Labor Employees 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Numljer: I 4 6 II 



MANNER OF TERMINATION (number of cases) 
Not on Merits— 76 77 78 



76-78 



AGENCY REVIEW (number of coses) 



Settlement 
Withdrawal 
Dismissal 
Other 










1 



5 

1 



5 

2 





Review- 
Yes: 
No: 

Result- 




76 

1 



77 

3 

1 


78 76-78 

4 
6 7 


On Merits— 

ALJ Hearing & Decision 1 
ALJ Hearing w/6 Decision 
ALJ Decision w/o Hearing 


3 









4 






Affirm 
Reverse 
Modify 
Remand/Other 





1 




3 











3 


1 




ELAPSED TIME DATA 


Case 
Breakdowi 


n FY 

76 

77 

78 

76-78 


Elapsed Time (days) 
Avg Min Max 

25.0 25 25 
186.3 65 305 
244.7 179 412 
203.5 25 412 


Distribution 


of Cases by Elapsed Time (coses) 


N 


Stage of Case 


0-lmo l-4mo 


4-l2mo 


l-2yr 



1 

1 


2yr+ 







(coses) 


Prehearing Complaint / 

Referral to CALJ 


All 
Cases 


1 




1 




1 


1 



3 
5 
8 


1 

4 
6 

11 


Hearing Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


121.0 
214.3 

191.0 


121 
163 

121 


121 
260 

260 








1 




1 



3 


3 














1 

3 

4 


' 


All 

Other 

Coses 


76 

77 

78 

76-78 


33.0 
190.3 
167.9 


33 

44 
33 


33 

294 
294 










1 

1 

2 





5 
5 















1 
6 

7 


Posthearing ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


21.0 
49.0 

42.0 


21 

38 

21 


21 
59 

59 


1 




1 



3 

3 




















1 

3 

4 




All 

Other 

Cases 


76 

77 

78 

76-78 



















1 

6 

7 





























1 

6 
7 


Total Time Complaint / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


167.0 
490.0 

409.3 


167 
361 

167 


167 
575 

575 














1 
1 


2 



2 

2 








1 

3 

4 




All 

Other 

Cases 


76 

77 

78 

76-78 


98.0 

45.0 

386.9 


98 

244 

98 


98 
706 
706 










1 



1 




2 
2 




4 
4 










1 
6 

7 



339 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing — 

FY; 76 77 78 76-78 

Number: 13 1 5 





Item 


FY 

76 

77 

78 

76-78 


Time/Effort (days, p 
Avg Min 

1.0 1 
2.7 1 
1.0 1 
2.0 1 


ages, etc.) 

Max 


Distribution c 
0-2 3-9 

1 
1 2 
1 
3 2 


f Cases 
10-59 


by Time/Effort Item 
60-199 200+days, etc. 







N 
(cases) 


Prehearing 
& Hearing 

Time 


ALJ prehearing 
and hearing: 
separate 
days per cose 


1 

4 
1 
4 








1 

3 
1 
5 




ALJ prehearing 
and hearing: 
hours per case 


76 

77 

78 

76-78 


3.0 
15.7 

4.0 
10.8 


3 
6 
4 
3 


3 

21 

4 

21 








1 
1 
1 
3 



2 

2 














1 

3 
1 
5 




ALJ Travels 
hours per case 


76 

77 

78 

76-78 


6.0 

1.3 



2.0 


6 





6 
2 


6 



3 

1 
4 


1 



1 




















1 
3 

1 
5 


Parties 


PetitionerSs respon- 
dents, interveners 
(incluiding agency): 
number per case 


76 

77 

78 

76-78 


3.0 
3.0 
2.0 
2.8 


3 
2 
2 
2 


3 
4 
2 
4 



1 

1 
2 


1 

2 


3 




















1 

3 
1 
5 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs): 
number per case 


76 

77 

78 

76-78 


24.0 
21.0 
17.0 
20.8 


24 
10 
17 
10 


24 
42 
17 
42 















1 

3 

1 

5 














1 

3 
1 
5 




Transcripts: 
pages per case 


76 

77 

78 

76-78 


44.0 

323.0 



202.6 


44 

183 






44 

400 



400 





1 
1 








i 



1 




1 



1 



2 

2 


1 
3 

1 
5 




Briefs: 

pages per case 


76 

77 

78 

76-78 


6.0 
47.3 
17.0 
33.0 


6 
19 
17 

6 


6 
86 
17 
86 








1 




1 



2 

1 
3 




1 



1 








1 
3 

1 
5 




Exhibits: 
pages per cose 


76 

77 

78 

76-78 


89.0 
66.7 
62.0 
70.2 


89 
25 
62 
25 


89 
100 

62 
100 
















1 


1 


1 

2 

1 

4 








1 
3 

1 
5 




Contested 
motions: 
number per case 


76 

77 

78 

76-78 



1.7 
1.0 
1.2 




1 
1 




2 

1 
2 


1 

3 
1 
5 


























1 

3 
1 
5 




Written opinions 
by ALJ! 
pages per cose 


76 
77 
78 

76-78 


15.0 

18.0 

5.0 

14.8 


15 

11 
5 
5 


15 

27 

5 

27 











1 

1 


1 

3 


4 















1 
3 

1 
5 



Procedures— 

The Commission follows basically the some procedure as 
that used by the Department of Labor In conducting 
Executive Order 1 1491 cases. 



340 



Agency: U.S. CIVIL SERVICE COMMISSION 
Case type: Retirement 



Case-Closed Cards Submitted— 
FY: 76 77 78 

Number: I 



76-78 



MANNER OF TERMINATION (number of coses) 

Not on Merits- 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & IDecision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 































































1 



76-78 








AGENCY REVIEW (number of cases) 

Review- 76 77 78 76-78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 







ELAPSED TIME DATA 
Stage of Case 


Cose 
Breakdown FY 


Elapsed Time (days) 
Avg Min Max 


Distribution 
0-lmo 


of Cases by Elapsed Time (cases) 
-Imo 'UI2mo l-2yr 2yr+ 


N 
(cases) 


Prehearing Notice / Referral 
to CALJ 


All 
Cases 


76 

77 

78 

76-78 


67.0 
67.0 


67 
67 


67 
67 











1 
1 
























1 

1 


Hearing Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


- 


- 












































All 

Other 

Coses 


76 

77 

78 

76-78 


97.0 
97.0 


97 
97 


97 
97 











1 
1 























1 
1 


Posthearing ALJ's decision / 
Final agency 
Oct Ion 


With 

Agency 

Review 


76 

77 

78 

76-78 


61.0 
61.0 


61 
61 


61 

61 











1 
1 
























1 

1 




All 

Other 

Cases 


76 

77 

78 

76-78 


I 


- 


- 






































Total Time Notice / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


225.0 
225.0 


225 
225 


225 
225 

















1 

1 

















1 
1 




All 

Other 

Cases 


76 

77 

78 

76-78 


- 


- 


■~ 







































3*1 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or partial hearing— 

FY: 76 77 78 76-78 

Number: 



Time/Effort (days, pages, etc.) 





item 


FY 

76 

77 

78 

76-78 


Avg 





Min 





Max 


0-2 




1 

1 


3-9 








10-59 


60-199 







200+days, etc. 







(coses) 


Prehearing 
AHteoring 
Time 


ALJ prehearing 

and hearings 
separate 
days per case 
















1 

1 




ALJ prehearing 
and hearing: 
hours per cose 


76 

77 

78 

76-78 


















1 
1 





























1 

1 




ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 


















1 
1 






























1 

1 


Parties 


Petitioners, respon- 
dents, interveners 
(irM;luding c^ency): 
number per cose 


76 

77 

78 

76-78 


2.0 
2.0 


2 
2 


2 
2 





1 
1 





























1 
1 


PopenA^ork 


Evidentiary docu- 
ments (excluding 
briefs): 
number per case 


76 

77 

78 

76-78 


5.0 
5.0 


5 

5 


5 
5 











1 

1 
























1 

1 




Transcripts: 
pages per cose 


76 

77 

78 

76-78 


















1 
1 





























1 

1 




Briefs: 

pages per case 


76 

77 

78 

76-78 


32.0 
32.0 


32 
32 


32 
32 

















1 
1 

















1 
1 




Exhibits: 
pages per case 


76 

77 

78 

76-78 


24.0 
24.0 


24 
24 


24 
24 

















1 
1 


















1 
1 




Contested 
motions: 
number i>eT case 


76 

77 

78 

76-78 


















1 
1 





























1 
1 




Written opinions 

by ALJ: 
pages per case 


76 

77 

78 

76-78 


10.0 
10.0 


10 
10 


10 
10 


















I 
i 


















1 
1 



Procedures — 

The Director of the Bureau will send a notice to the 
annuitant of an Intention to withhold payment when he finds 
that the payment appears to be prohibited by law. The 
annuitant has thirty days in which to submit an answer and a 
request for a hearing. 



At the close of a hearing, the presiding officer will prepare 
an initial decision which will become the decision of the 
Commission unless appealed or selected for review by the 
Commission within 30 days. 



342 



Agency: U.S. CIVIL SERVICE COMMISSION 
Case type: Salary 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 1 j 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 































































1 



76-78 








AGENCY REVIEW (number of cases) 
Review— 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 







76-78 


I 



ELAPSED TIME DATA 


























Case 
Breakdown f\ 


Elapsed 
Avg 


Time 
Min 


(days) 
Max 


Distribution of Cases by Elapsed Time (cases) 


N 


Stoge of Case 


0-lmo 


l-4mo 


4-l2mo 


l-2yr 


2yr+ 


(cases) 


Prehearing 


All 


76 




























Cases 


77 


— 






























78 


15.0 


15 


15 


1 














1 






76-78 


15.0 


15 


15 


1 














1 


Hearing 


With ALJ 


76 































Hearing on 77 


— 


_ 


— 






















Merits 


78 


_ 


— 


_ 
























76-78 


- 


- 


- 






















All 


76 


_ 


„ 


.. 





' 
















Other 


77 































Cases 


78 


82.0 


82 


82 





1 











1 






76-78 


82.0 


82 


82 





1 











1 


Post hearing 


With 


76 































Agency 


77 


— 


— 


— 






















Review 


78 


— 


— 


— 
























76-78 


- 


- 


- 






















All 


76 





„ 


„ 






















Other 


77 






























Cases 


78 











1 














1 






76-78 











1 














1 


Total Time 


With 


76 





„ 


.. 






















Agency 


77 


— 


~ 


— 






















Review 


78 


— 


— 


— 
























76-78 


— 


— 


— 






















All 


76 


_ 


„ 


„ 






















Other 


77 































Cases 


78 


97.0 


97 


97 





1 











1 






76-78 


97.0 


97 


97 





1 











1 



3M 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



Prehearing ALJ prehearing 

& Hearing and hearing; 
Time separate 

days per cose 



Parties 



Paperwork 



ALJ prehearing 
are! hearings 
hours per cose 



ALJ Travel; 
hours per cose 



FY 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Petitioners, respon- 76 

dents, interveners 77 

(incluiding agencyh 78 

number per cose 76-78 

Evidentiary docu- 76 

ments fexcluding 77 

briefs): 78 

number per case 76-78 



Transcripts: 
pages per cose 



Briefss 

pages per cose 



Exhibits: 
pc^es per cose 



Contested 

motions: 
number per cose 

Written opinions 
by ALJ: 
pages per case 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 
77 

78 
76-78 

76 

77 

78 

76-78 



Cases with full or partial hearing — 

FY: 76 77 78 76-78 

Number: 



Time/Effort (days, pages, etc.) 
Avg Min Max 








































2.0 
2.0 


2 
2 


2 

2 


18.0 
18.0 


18 
18 


18 

18 


"o 













15.0 
15.0 


15 
15 


15 
15 


68.0 
68.0 


68 
68 


68 
68 














4.0 
4.0 


4 
4 


4 
4 



Distribution of Coses by " 


"ime 


/Effort Item 


N 


0-2 


3-9 


10-59 60-199 


IfXMays, etc. 


(cases) 






































1 














1 


1 














1 






































1 














1 


1 














1 






































1 














1 


1 














1 






































1 














1 


1 














1 












































1 








1 








1 








1 






































1 














1 


1 














1 












































1 








1 








1 








1 















































1 





1 











1 





1 






































1 














1 


1 














1 









































1 











1 





1 











1 



Procedures — 

An employee has fifteen days to file an appeal to the 
Commission after receipt of the decision upon 
reconsideration by an agency not to grant a within-grade pay 
increase. The review will be on the record established in the 
agency reconsideration proceeding. Either party may petition 
the Aijpeals Review Board to reopen and reconsider the 
decision of the Commission. 



344 



Agency: U.S. CIVIL SERVICE COMMISSION 
Case type: Removal of Al 1 



Case-Closed Cords Submitted — 
FY: 76 77 78 

Number: I 



76-78 



MANNER OF TERMINATION (number of coses) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On M«rits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 































































1 



76-78 








AGENCY REVIEW (number of cases) 
Review— 76 77 78 



Yes: 
No: 










1 




Result- 








Affirm 
Reverse 
Modify 
Remand/Other 














1 







76-78 



ELAPSFD TIME DATA 


























>e 


Case 
Breakdown FY 


Elapsed 
Avg 


Time 
Min 


(days) 
Max 


Distribution 


of Cases by Elapsed Tir 


Tie (cases) 


N 


Stage of Cos 


0-lmo 


-4mo 


4-l2mo 


l-2yr 


2yr+ 


cases] 


Prehearing 


Filing of charges / 


All 


76 




























Referral to CALJ 


Cases 


77 


— 


— 





























78 


47.0 


47 


47 





1 











1 








76-78 


47.0 


47 


47 





1 











1 


Hearing 


Referral to CALJ / 


With ALJ 


76 































ALJ's 


Hearing on 77 


— 


— 


— 






















recommended 


Merits 


78 































decision 




76-78 


" 


" 


- 
























All 


76 

































Other 


77 

































Cases 


78 


57.0 


57 


57 





1 











1 








76-78 


57.0 


57 


57 





1 











1 


Postheoring 


ALJ's decision / 


With 


76 































Final agency 


Agency 


77 


— 


— 


_ 






















action 


Review 


78 


27.0 


27 


27 


1 














1 








76-78 


27.0 


27 


27 


1 





' 








1 






All 


76 

































Other 


77 

































Cases 


78 


— 


_ 


_ 


























76-78 


— 


— 


— 




















Total Time 


Filing of charges / 


With 


76 































Final agency 


Agency 


77 


— 


— 


— 






















action 


Review 


78 


131.0 


131 


131 








1 








1 








76-78 


131.0 


131 


131 








1 








1 






All 


76 


,__ 





„ 
























Other 


77 


_ 


_ 


_ 
























Cases 


78 


— 


_ 


_ 


























76-78 


— 


— 


— 





















345 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or partial hearing — 

FY! 76 77 78 76-78 

Number: 



Item 



FY 



Prehearing 


ALJ prehearing 


76 


& Hearing 


and hearing: 


77 


Time 


separate 


78 




days per case 


76-78 




ALJ prehearing 


76 




end hearings 


77 




hours per cose 


78 
76-78 




ALJ Travel: 


76 




hours per case 


77 

78 

76-78 



Parties 



Paperwork 



Petitioners, respon- 76 
dents, intervenors 77 

(including cgeocy); 78 

number per cose 76-78 



Evidentiary ctecu- 
ments (excluding 
briefs)i 
number per cose 

Tronscriptsi 
pages per cose 



Briefs: 

pc^es per cose 



Exhibits: 
pages per cose 



Contested 
motions: 
number per cose 



Written opinions 

by ALJ: 
pages per cose 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Time/Effort (days, pages, etc.) 



Avg 



Min 



Max 



2.0 
2.0 


2 
2 











2'o 
2.0 


2 
2 


5.0 
5,0 


5 
5 










4.0 


4 


5.0 
5.0 


5 
5 










7.0 

7.0 


7 
7 



Distribution of Cases by 


Time 


/Effort Item 


N 


0-2 


3-9 


10-59 60-199 


200+<kiys, etc. 


(cases) 






































1 














1 


1 














1 






































1 














1 


1 














1 






































1 














1 


1 














1 






































1 














1 


1 














1 









































1 











1 





1 











1 






































1 














1 


1 














1 









































1 - 











1 





1 











1 









































1 











1 





1 











1 






































1 














1 


1 














1 









































1 











i 





1 











1 



Procedures — 

An agency Initiates the proceeding by filing a letter of 
charges with the General Counsel of the Commission. The 
agency has the general burden of proof in showing good cause 
for removal. The recommended decision of the ALJ, any 
exceptions or additioihs made by the parties, and the entire 
record of the hearing 'will be transmitted to the Commission 
for a decision. 



346 



U. S. COAST GUARD, Department of Transportation 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Case Type 



FY 



Cases 
Pending at 
Start of FY 



New Cases 

Referred to 

Office of ALJs 



Cases Cases 

Terminated Pending at 
by Agency End of FY 



License Revocation and Suspension 
Misconduct 

46 use 239, 239b 

46 CFR 5.05-20, 5.20 et seq. 

Disciplinary proceeding to determine whether a seaman 
aboard a U. S. vessel has committed acts of misconduct and, if 
so, whether his marine license, certificate or documents should 
be suspended or revoked. 



(75) 




■ 350° 


319 




76 


88 


397 


367 


118 


77 


118 


437 


421 


134 


78 


134 


418 


403 


149 



76-78 



1252 



1191 



License Revocation and Suspension 
Negligence 

46 use 239, 239b 

46 CFR 5.05-20, 5.20 et seq. 

Disciplinary proceeding to determine whether a seaman 
aboard a U. S. vessel hos committed acts of negligence and, if 
so, whether his marine license, certificate or documents should 
be suspended or revoked. 



(75) 




150° 


172 




76 


41 


170 


167 


44 


77 


44 


158 


144 


58 


78 


58 


197 


181 


74 



76-78 



525 



492 



License Revocation and Suspension 
Incompetence 

46 use 239, 239b 

46 CFR 5.05-20, 5.20 et seq. 

Disciplinary proceeding to determine whether a seaman 
aboard a U. S. vessel has committed acts of incompetence and, 
if so, whether his marine license, certificate or documents 
should be suspended or revoked. 



(75) 




1 ° 


1 




76 


1 


8 


6 


3 


77 


3 


16 


15 


4 


78 


4 


17 


13 


8 



76-78 



41 



34 



License Revocation and Suspension 
Violation of Law or Regulation 

46 use 239, 239b 

46 CFR 5.05-20, 5.20 et seq. 

Disciplinary proceeding to determine whether a seaman 
aboard a U. S. vessel has violated a law or regulation and, if so, 
whether his marine license, certificate or documents should be 
suspended or revoked. 



(75) 




10° 


9 




76 


4 


II 


13 


2 


77 


2 


4 


6 





78 





5 


4 


1 



76-78 



20 



23 



' These figures are estimates based on partial data submitted for the FY 1975 report. 



347 



U. S. COAST GUARD, Deportment of Transportation (continued) 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1 976- 1 978 

(and FY 1975 from previous publication) 



Case Type 



FY 



Cases New Cases 

Pending at Referred to 
Start of FY Office of ALJs 



Cases Cases 

Terminated Pending at 
by Agency End of FY 



License Revocation and Suspension 
Conviction for Norcof ics Violation 

46 use 239, 239b 

46 CFR 5.05-20, 5.20 et seq. 

Disciplinary proceeding to determine whether a seaman 
aboard a U. S. vessel has been convicted of a narcotics 
violation or uses or is addicted to narcotics and, if so, whether 
his marine license, certificate or documents should be 
suspended or revoked. 



(75) 




30° 


21 




76 


13 


19 


28 


4 


77 


4 


33 


23 


14 


78 


14 


13 


19 


8 



76-78 



65 



70 



License Revocation and Suspension 
Multiple Charges 

46 use 239, 239b 

46 CFR 5.05-20, 5.20 et seq. 

License revocation or suspension proceeding in which 
multiple offenses are charged. 



(75) 




30° 


31 




76 


12 


46 


39 


19 


77 


19 


35 


39 


15 


78 


15 


31 


37 


9 



76-78 



112 



115 



*" These figures are estimates based on partial data submitted for the FY 1975 report. 



348 



Agency: U. S. COAST GUARD 

Case type: License Revocation and Suspension 
Misconduct 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 352 437 410 1199 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 



Other 



On Merits- 



ALJ Hearing & Decision 
ALJ Hearing w/o IDecision 
ALJ Decision w/o Hearing 



23 



76-78 


















28 


21 


59 


4 


8 


7 


19 



27 27 



77 



315 


374 


355 


1044 



























AGENCY REVIEW (number of cases) 

Review- 76 77 78 76-78 



Yes: 
No: 


20 
332 


17 
420 


12 
398 


49 
1150 


Result- 










Affirm 
Reverse 
Modify 
Remand/Other 


17 
1 

1 

1 


13 
2 

1 
1 


10 
2 




40 
5 
2 
2 



ELAPSED TIME DATA 




























Case 




Elapsed Time (days) 


Distribution of Coses by Elapsed Time (coses) 


N 


Stage of Cos 


Date of 


Breakdow 


n FY 
76 


Avg 

3.2 


Min 




Max 

117 


O-lmo 


l-^o 


A-iano 


l-2yr 




2yr+ 




(coses) 


Prehearing 


All 


347 


5 





352 




investigation / 


Cases 


77 


4.1 





721 


432 


4 





1 





437 




Referral to ALJ 




78 


2.6 





48 


405 


5 











410 








7&.78 


3.3 





72! 


1184 


14 





1 





1199 


Hearing 


Referral to ALJ / 


With ALJ 


76 


52.7 





492 


184 


84 


44 


3 





315 




ALJ's written 


Hearing on 77 


60.2 





628 


180 


149 


39 


6 





374 




decision 


Merits 


78 


52.8 





598 


202 


III 


37 


5 





355 








76-78 


55.4 





628 


566 


344 


120 


14 





1044 






All 


76 


50.0 





408 


25 


6 


3 


1 





35 






Other 


77 


31.3 





290 


41 


20 


2 








63 






Cases 


78 


26.9 





172 


40 


14 


1 








55 








76-78 


34.0 





408 


106 


40 


6 


1 





153 


Posthearing 


ALJ's decision / 


With 


76 


242.6 


103 


529 





2 


16 


2 





20 




Final agency 


Agency 


77 


234.2 





448 


i 





15 


1 





17 




action 


Review 


78 


395.8 


259 


582 








5 


7 





12 








76-78 


277.2 





582 


1 


2 


36 


10 





49 






All 


76 











329 














329 






Other 


77 











420 














420 






Coses 


78 


i.l 





342 


396 


1 


1 








398 








76-78 


.4 





342 


1145 


1 


1 








1147 


Total Time 


Date of 


With 


76 


309.0 


114 


576 





1 


15 


4 





20 




investigation / 


Agency 


77 


331.2 


36 


473 





1 


9 


7 





17 




Final agency 


Review 


78 


497.1 


320 


888 








4 


6 


2 


12 




action 




76-78 


362.8 


36 


888 





2 


28 


17 


2 


49 






All 


76 


55.0 





496 


192 


90 


43 


4 





329 






Other 


77 


58.6 





780 


204 


173 


36 


6 


1 


420 






Cases 


78 


51.5 


1 


598 


226 


130 


37 


5 





398 








76-78 


55.1 





780 


622 


393 


116 


15 


1 


1147 



3ii9 



TIME AND EFFORT AT THE HEARING STAGE 








Coses with full or partial hearing— 


















FY: 


76 


77 


78 


76-78 
















Number; 


337 407 


376 


1120 






Item 


Time/Effort (days, f 
FY Avg Min 

7S 1.9 

77 2.0 i 

78 1.8 1 
76-78 1.9 


Kiges, etc.) 
Max 


Distrib 
0-2 

286 
342 
329 
957 


ution c 
3-9 

44 
55 
39 
138 


>f Cases 
10-59 


by Time/Effort Item 
60-199 20aKlays, etc, 







N 

(coses) 


Prehearing 
& Hearing 

Time 


ALJ prehearing ■ 
and hearing; 
separate 
days per case 


25 
25 
20 
25 


7 
10 

8 
25 


337 
407 
376 
1120 




ALJ prehearing 
and hearing; 
hours per cose 


76 

77 

78 

76-78 


3.0 
3.0 
3.2 
3.1 


I 

1 
1 

1 


26 
28 
75 
75 


205 
262 
245 
712 


116 
122 
113 
351 


16 
23 
17 
56 







1 
1 








337 
407 
376 
1120 




ALJ Travels 
hours per cose 


76 

77 

78 

76-78 


2.0 
1.8 
2.2 
2.0 








20 
40 
40 
40 


243 
316 
291 
850 


73 
64 
59 
196 


20 
24 
25 
69 
















336 
404 
375 
1115 


Parties 


Petitiortsrs, respon- 
dents, intervenors 
(inctoding agency); 
number per cose 


76 

77 

78 

76-78 


2.0 
2.0 
2.0 
2.0 


2 
2 
2 
2 


3 
3 

7 
7 


334 
400 
368 
1102 


3 

7 

8 

18 























337 

407 

376 

1120 


Paperwork 


Evidentiary docu- 
menH-s (excluding 
briefs); 
number per case 


76 

77 

78 

76-78 


4.1 
4.6 

4.5 
4.4 








25 
33 
65 
65 


95 
113 
114 
322 


220 
256 
227 
703 


IS 
33 
33 
84 







1 
1 








333 
402 
375 
1110 




Transcripts; 
pages per case 


76 

77 

78 

76-78 


134.5 
110.3 
141. 1 
127.7 


8 
9 
18 

8 


421 
280 
672 
672 








1 
1 


2 


5 
3 
4 
12 




10 

10 

6 

26 


4 
3 
2 
9 


20 
17 
12 
49 




Briefs; 

pages per cose 


76 

77 

78 

76-78 


.4 
.5 
.7 
.6 








21 
17 
43 
43 


304 

375 

354 

1033 


5 
12 
10 
27 


6 
11 
11 
28 
















315 

398 

375 

1088 




Exhibits; 
fMiges per cose 


76 

77 

78 

76-78 


12.6 

8.5 

11.9 

10.9 








305 
164 
400 
400 


82 
104 

98 
284 


173 
222 
186 
581 


61 

70 

77 

208 




16 

6 

II 

33 


1 


3 
4 


333 

402 

375 

IIIO 




Contested 
motions; 

number per cose 


76 

77 

78 

76-78 


.3 
.3 
.2 
.3 








13 
22 
10 
22 


323 
393 
367 
1083 


9 

8 

7 

24 


2 
2 

1 
5 
















334 

403 

375 

1112 




Written opinions 
by ALJ; 
pages per cose 


76 

77 

78 

76-78 


8.3 
8.6 
9.1 
8.6 




1 
1 




36 
34 
47 
47 


24 
20 
15 
59 


220 
247 
235 
702 


S6 
140 
125 
361 
















340 

407 

375 

1122 



Procerfures— 

The prehearing stage is very brief. Ordinarily the case is 
initiated when an investigation officer goes on board a ship to 
review the logbook. If the book discloses possible need for 
disciplinary action he may (during or after his investigation) 
prefer charges against the license holder. He may also take 
other action such as accept voluntary deposit or surrender of 
the license, give warnings, or recommend taking no action. 
The charges are preferred on a form provided for the purpose; 
the case is generally docketed immediately on the local ALJ's 
calendar and the respondent is given notice of the charges 
and the hearing dote. This must all be done very quickly 
before the respondent's ship leaves the dock. Therefore the 
time between the date of the investigator's entry on the ship 
and the date of the notice to the respondent is usually a 
matter of hours. 

Each ALJ in the field maintains his own docket; the cases 
are only rarely assigned by the CALJ. 

The ALJ will often deliver on oral decision and hand the 
respondent a summary "short order". However, the hearing 



stage is not concluded until the complete decision is 
written. (Hearings may be conducted "in absentia" if the 
respondent fails to appear after being duly served.) The order 
is then served on the respondent. This may take a long time 
if he is out at sea "China-hopping". But once served he has 30 
days to file a notice of appeal and 60 days to complete his 
appeal. (A special office called Merchant Vessel Personnel 
handles the appeal papers.) The Commandant has 60 days to 
review on his own motion. If the respondent cannot be 
located he is placed on the "Man-Wonted" list. 

In the review stage, the CALJ ordinarily makes a 
recommendation to the Chief Counsel of the Coast Guard 
who drafts final recommendations for the Commandant. The 
Commandant's decision is the final agency decision. 
However, Commandant decisions sustaining orders of 
revocation may be appealed to the National Transportation 
Safety Board. As of 1975, it was estimated that in the 
previous six years, the NTSB had heard 42 such appeals and 
reversed only twice. 



350 



Agency: U. S. COAST GUARD 

Case type; License Revocation and Suspension 
Negligence 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: 172 157 172 501 



MANNER OF TERMINATION (number of coses) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ IHearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 















9 


8 


12 


29 


2 


4 


3 


9 


8 


4 


8 


20 


53 


141 


149 


443 



























AGENCY REVIEW (number of coses) 



Review- 
Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 

17 
155 



77 

13 
144 



78 76-78 



9 
163 



9 8 6 

8 5 I 

I 

1 



39 
462 



23 
14 



ELAPSED T 
Stage of Cos 


ME DATA 

e 

Date of 
investigation / 
Referral to ALJ 


Case 
Breokdow 


1 ^ 

76 

77 

78 

76-78 


Elapsed Time (days) 
Avg Min Max 

3.0 35 
3.9 125 
2.7 48 
3.2 125 


Distribution of Ca 
0-lmo l-/imo 


ses by Elq 
4-l2mo 


psed Time (coses) 
l-2yr 2yr+ 







N 
(coses) 


Prehearing 


All 
Cases 


170 

154 
170 
494 


2 
2 
2 
6 




1 


1 


172 
157 
172 
501 


Hearing 


Referral to ALJ / 
ALJ's written 
decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


70.2 
69.5 
54.4 
64.7 



2 
3 



471 
514 
249 
514 


67 

55 

60 

182 


56 

63 

73 

192 


28 
21 
16 

65 


2 
2 


4 








153 

D4I 
149 
443 






All 

Other 

Cases 


76 

Tl 

78 

76-78 


83.2 
46.8 
52.2 
60.8 


6 

6 



447 
251 
224 
447 


7 
10 
14 
31 


9 

4 

5 

18 


2 
2 
4 
8 


1 




1 








19 
16 
23 
58 


Post hearing 


ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


311.4 
327.2 
413.6 
340.2 


149 
134 
298 
134 


570 
640 
559 
640 














13 
9 
2 

24 


4 

4 

7 

15 








17 

13 

9 

39 






All 

Other 

Coses 


76 

77 

78 

76-78 





1.5 
.5 












247 

247 


153 
144 
162 
459 











1 
I 














153 
144 
163 
460 


Total Time 


Date of 
investigation / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


418.2 
487.0 
540.8 
469.4 


174 
245 
364 
174 


64! 
849 
722 
849 














5 

5 

1 

II 


12 
6 
8 

26 



2 

2 


17 

13 

9 

39 






All 

Other 

Coses 


76 

77 

78 

76-78 


71.9 
63.1 
54.4 
62.9 




3 



506 
639 
448 
639 


67 

57 

66 

190 


58 

69 

79 

206 


25 
16 
17 
58 


3 
2 

1 
6 








153 
144 
163 
460 



351 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing — 















FY: 


76 77 


78 


76-78 
















Number: 


165 149 


159 


473 










Time/Effort (days, pages, etc.) 


Distribution of Cases by Time/Effort Item 


N 




Item 


FY 

76 

77 

78 

76-78 


Avg 

1.6 
1.8 
1.5 
1.6 


Min 


Max 


0-2 

143 
124 
139 
406 


3-9 

22 

24 
20 
66 


10-59 60- 


99 2004days, etc. 







(cases) 


Prehearing 
& Hearing 

Time 


ALJ prehearing 
and hearing; 
separate 
doys per case 


12 
12 
4 
12 


1 
1 


2 


166 
149 
159 
474 




ALJ prehearing 
oral heoringi 
hours per cose 


76 

77 

78 

76-78 


3.9 
4.0 
2.9 
3.6 




43 
34 
16 
43 


93 

79 

101 

273 


61 

55 

50 

166 


12 

14 

8 

34 














166 
148 
159 
473 




ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 


3.2 
3.9 
2.2 

3.1 








24 
60 
24 
60 


84 
87 
III 

282 


68 
45 
40 
153 


13 

15 

8 

36 




1 



1 








165 
148 
159 
472 


Parties 


Petitiosiers, respcn- 
dents, interveners 
(including agency); 
number per case 


76 

77 

78 

76-78 


2.0 
2.0 
2.0 
2.0 


2 
2 
2 
2 


4 
4 
3 
4 


160 
146 

153 
459 


6 
2 
6 

14 




















166 
148 
159 
473 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs): 
number per cose 


76 

77 

78 

76-78 


4.8 
5.3 
4,0 
4.7 








32 

34 
39 
39 


66 

59 

89 

214 


78 

66 

56 

200 


21 
22 
14 
57 














165 
147 
159 
471 




Tronscriptsi 
pages per cose 


76 

77 

78 

76-78 


255.8 
330.2 
206.8 
267.7 


28 
22 
40 
22 


868 
1762 

506 
1762 














3 
1 

1 
5 


8 
4 
6 
18 


6 

8 

3 

17 


17 
13 
10 
40 




Briefs: 

p<K(es per cose 


76 

77 

78 

76-78 


2,2 
2.0 

1.7 
2.0 








44 
31 
4! 
44 


133 
123 
140 
396 


9 
10 

6 
25 


16 
14 
13 
43 














158 
147 
159 
464 




Exhibits: 
poges iper cose 


76 

77 

78 

76-78 


12.5 
25.6 
14.1 
17.1 








205 
735 
893 
893 


55 

48 

85 

188 


66 

60 

46 

172 


33 
27 
26 

86 


9 
6 


15 


1 

6 
2 
9 


164 
147 
159 
470 




Contested 

motiojis: 
numtxar par cose 


76 
77 

78 
76-78 


.5 
.5 
.5 
.5 








6 
6 

23 
23 


159 
140 
153 
452 


6 

8 

5 

19 





1 
1 














165 
148 
159 

472 




Written opinions 
by ALJ: 
ptigss per cose 


76 

77 

78 

76-78 


10.8 

10.0 

9.3 

10.1 


1 
1 
1 

1 


72 
66 
39 
72 


II 
5 
4 

20 


93 
89 

no 

292 


61 

54 
45 
160 


1 
I 


2 









166 

149 
159 
474 



Proosdures — 

The prehearing stage Is very brief. Ordinarily the case is 
initiated when an Investigation officer goes on board a ship to 
review the logbook. If the book discloses possible need for 
disciplinary action he may (during or after his investigation) 
prefer charges against the license holder. He may also take 
other action such as accept voluntary deposit or surrender of 
the license, give warnings, or recommend taking no action. 
The charges are preferred on a form provided for the purposei 
the case is generally docketed Immediately on the local ALJ's 
calendar and the respondent is given notice of the charges 
and the hearing date. This must all be done very quickly 
before the respondent's ship leaves the dock. Therefore the 
time between the date of the Investigator's entry on the ship 
and the date of the notice to the respondent is usually a 
matter of hours. 

Each ALJ In the field maintains his own docket; the cases 
are only rarely assigned by the CALJ. 

The ALJ will often deliver an oral decision and hand the 
respondent a summary "short order". However, the hearing 



stage Is not concluded until the complete decision Is 
written. (Hearings may be conducted "In absentia" if the 
respondent fails to appear after being duly served.) The order 
is then served on the respondent. This may take a long time 
if he Is out at sea "China-hopping". But once served he has 30 
days to file a notice of appeal and 60 days to conriplete his 
appeal. (A special office called Merchant Vessel Personnel 
handles the appeal papers.) The Commandant has 60 days to 
review on his own motion. If the respondent cannot be 
located he Is placed on the "Man-Wanted" list. 

In the review stage, the CALJ ordinarily makes a 
recommendation to the Chief Counsel of the Coast Guard 
who drafts final recommendations for the Commandant. The 
Commandant's decision Is the final agency decision. 
However, Commandant decisions sustaining orders of 
revocation may be appealed to the National Transportation 
Safety Board. As of 1975, it was estimated that in the 
previous six years, the NTSB had heard 42 such appeals and 
reversed only twice. 



352 



Agency: U. S. COAST GUARD 

Case type: License Revocation and Suspension 
Incompetence 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 6 15 13 2k 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 















li 


6 


3 


13 





3 





3 








1 


1 


2 


6 


9 


17 



























AGENCY REVIEW (number of cases) 



Review- 
Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 


6 



77 78 76-78 




15 



12 



I 
33 



ELAPSED TIME DATA 




























Case 




Elapsed Time (days) 


Distribcition of Cases by Elapsed Time (cases) 


N 


Stage of Ca 


se 

Date of 


Breakdow 


n FY 
76 


Avg 

58.3 


Min 




Max 

334 


0-lmo 


l-4mo 


4-l2mo 


l-2yr 




2yr+ 




(cases) 


Prehearing 


All 


5 





1 


6 




investigation / 


Coses 


77 


1.3 





5 


15 














15 




Referral to ALJ 




78 


3.4 





17 


13 














13 








76-78 


12.2 





334 


33 





1 








34 


Hearing 


Referral to ALJ / 


With ALJ 


76 


63.5 


36 


91 





2 











2 




ALJ's written 


Hearing on 77 


96.3 


6 


246 


2 


3 


1 








6 




decision 


Merits 


78 


165.6 


8 


398 


1 


3 


4 


1 





9 








76-78 


129.1 


6 


398 


3 


8 


5 


1 





17 






All 


76 


95.0 


6 


291 


2 


1 


1 








4 






Other 


77 


63.1 





167 


4 


3 


2 








9 






Coses 


78 


58.0 


2 


180 


2 


1 


1 








4 








76-78 


69A 





291 


8 


5 


4 








17 


Posthearing 


ALJ's decision / 


With 


76 





_. 

























Final agency 


Agency 


77 


— 


_ 


— 






















action 


Review 


78 


333.0 


333 


333 








1 








1 








76-78 


333.0 


333 


333 








1 








1 






All 


76 











6 














6 






Other 


77 











15 














15 






Coses 


78 











12 














12 








76-78 











33 














33 


Total Time 


Dote of 


With 


76 


_„ 





,„ 






















investigation / 


Agency 


77 


— 


— 


— 






















Final agency 


Review 


78 


550.0 


550 


550 











1 





1 




action 




76-78 


550.0 


550 


550 











1 





1 






All 


76 


142.8 


20 


370 


2 


2 


1 


1 





6 






Other 


77 


77.7 





250 


6 


6 


3 








15 






Cases 


78 


129.1 


2 


401 


3 


4 


4 


1 





12 








76-78 


108.2 


1 


401 


II 


12 


8 


2 





33 



353 



TIME AND EFFORT AT THE HEARING STAGE 



Cases witli full or partial hearing— 

FY: 76 77 78 76-78 

Numbers 6 12 12 30 



Time/Effort (days, pages, etc.) Distribution of Coses by Time/Effort Item 



N 





Item 


FY 

76 

77 

78 

76-78 


Avg 

1.3 
2.3 
2.7 
2.2 


Min 


Max 


0-2 

5 

6 

6 

17 


3-9 

1 

6 

6 

13 


10-59 


60-199 







200+days, etc. 







(cases) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 

and hearing: 
separate 

days per cose 


3 

4 
7 
7 








6 
12 
12 
30 




ALJ prehearing 

end hearing: 
hours per case 


76 

77 

78 

76-78 


2.8 
2.7 
5.2 

3.7 




5 
9 
15 
15 


2 

9 

2 

13 


4 

3 

9 

16 





1 
1 














6 
12 
12 
3'0 




ALJ Travels 
hours per case 


76 

77 

78 

76-78 


5.0 
2.2 
2.2 
2.7 








8 
21 
18 
21 


1 
10 
10 
21 


5 

1 
1 
7 




1 
1 

2 














6 
12 
12 
30 


Parties 


Petitioners, respoiv 
dents, interveners 
(including agencyh 
number per cose 


76 ' 
77 
78 
76-78 


2.0 
2.0 

2.0 
2.0 


2 
2 
2 
2 


2 
2 
2 
2 


6 

12 ■ 
12 
30 


























6 
12 
12 
30 


Paperwork 


Evidentiary droau- 

ments (excluding 
briefs): 
number per case 


76 

77 

78 

76-78 


2.3 
4.0 
7.1 

4.9 









9 
15 
21 

21 


4 

7 

3 

14 


2 
3 

7 
12 



2 
2 

4 














6 
12 
12 
30 




Transcripts: 
pages per case 


76 

77 

78 

76-78 


93.0 
93.0 


93 
93 


93 
93 























1 
1 











I 
1 




Briefs: 

pages per cose 


76 

77 

78 

76-78 



1.2 
3.8 
2.0 










8 
17 
17 


6 
10 
8 

24 



2 
2 
4 




2 
2 














6 
12 
12 
30 




Exhibits: 
pages per cose 


76 

77 

78 

76-78 


23.8 

8.8 

14.8 

13.9 








67 
26 
38 
67 


2 

6 

3 

11 


1 

2 
2 
5 


1 

4 

7 

12 


1 




1 








5 
12 
12 
29 




Contested 
motions: 
number per case 


76 

77 

78 

76-78 


.2 
.3 
.6 
.4 








1 

2 
3 
3 


6 
12 
II 
29 




1 
1 




















6 
12 
12 
30 




Written opinions 
by ALJ: 
pages per cose 


76 

77 

78 

76-78 


9.0 
5.4 
9,3 
7.7 


1 

1 

2 

1 


24 
15 
17 
24 


3 
6 
2 

II 


1 

3 
5 
9 


2 

3 

5 

10 














6 
12 
12 
30 



Procedures — 

The prehearing stage is very brief. Ordinarily the case is 
initiated when an investigation officer goes on board a ship to 
review the logbook. If the book discloses possible need for 
disciplinary action he may (during or after his investigation) 
prefer charges against the license holder. He may also take 
other action such as accept voluntary deposit or surrender of 
the license, give warnings, or recommend taking no action. 
The charges are preferred on a form provided for the purpose; 
the case is generally docketed immediately on the local ALJ's 
calendar and the respondent is given notice of the charges 
and the hearing dote. This must all be done very quickly 
before the respondent's ship leaves the dock. Therefore the 
time between the date of the investigator's entry on the ship 
and the dote of the notice to the respondent is usually a 
matter of hours. 

Each ALJ in the field maintains his own docket; the cases 
ore only rarely assigned by the CALJ. 

The ALJ will often deliver an oral decision and hand the 
respondent a summary "short order". However, the hearing 



stage is not concluded until the complete decision is 
written. (Hearings may be conducted "in absentia" if the 
respondent fails to appear after being duly served.) The order 
is then served on the respondent. Tnis may take a long time 
if he is out a\ sea "China-hopping". But once served he has 30 
days to file a notice of appeal and 60 days to conTplete his 
appeal. (A special office called Merchant Vessel Personnel 
handles the appeal papers.) The Commandant has 60 days to 
review on his own motion. If the respondent cannot be 
located he is placed on the "Man-Wanted" list. 

In the review stage, the CALJ ordinarily makes a 
recommendation to the Chief Counsel of the Coast Guard 
who drafts final recommendations for the Commandant. The 
Commandant's decision is the final agency decision. 
However, Commandant decisions sustaining orders of 
revocation may be appealed to the National Transportation 
Safety Board. As of 1975, it was estimated that in the 
previous six years, the NTSB had heard 42 such appeals and 
reversed only twice. 



354 



Agency: U. S. COAST GUARD 

Case type: License Revocation and Suspension 
Violation of Law or Regulation 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: 14 5 5 24 



MANNER OF TERMINATION (number of coses) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits — 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 


















1 


1 


2 





1 





1 














14 


3 


4 


21 



























AGENCY REVIEW (number of cases) 



Review — 

Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76 

3 



77 



78 76-78 



3 I 

' 

00 





4 
20 



ELAPSED TIME DATA 




. 






















!e 


Case 
Breakdow 


n FY 
76 


Elapsed Time (days) 
Avg Min Max 

2.4 9 


Distribution 


of Cases by Elapsed Time (cases) 


N 


Stage of Co! 


0-lmo 1 


-4mo 


4-l2mo 


l-2yr 




2yr+ 




(cases) 


Prehearing 


Date of 


All 


14 








14 




investigation / 


Coses 


77 


.4 





2 


5 














5 




Referral to ALJ 




78 


.6 





2 


5 














5 








76-78 


1.6 





9 


24 














24 


Hearing 


Referral to ALJ / 


With ALJ 


76 


44.4 


6 


214 


9 


3 


2 





0- 


14 




ALJ's written 


Hearing on 77 


77.7 


40 


124 





2 


1 








3 




decision 


Merits 


78 


39.8 


20 


98 


3 


1 











4 








76-78 


48.2 


6 


214 


12 


6 


3 








21 






All 


76 

































Other 


77 


30.5 


19 


42 


1 


1 











2 






Cases 


78 


64.0 


64 


64 





1 











1 








76-78 


41.7 


19 


64 


1 


2 











3 


Post hearing 


ALJ's decision / 


With 


76 


229.3 


178 


271 








3 








3 




Final agency 


Agency 


77 


179.0 


179 


179 








1 








1 




action 


Review 


78 



































76-78 


216.8 


178 


271 








4 








4 






All 


76 











II 














II 






Other 


77 











4 














4 






Cases 


78 











5 














5 








76-78 











20 














20 


Total Time 


Date of 


With 


76 


306.3 


194 


440 








2 


1 





3 




investigation / 


Agency 


77 


248.0 


248 


248 








1 








1 




Final agency 


Review 


78 


— 


_ 


_ 






















action 




76-78 


291.8 


194 


440 








3 


1 





4 






All 


76 


38.5 


8 


217 


7 


3 


1 








II 






Other 


77 


56.8 


19 


126 


1 


2 


1 








4 






Cases 


78 


45.2 


20 


99 


3 


2 











5 








76-78 


43.9 


8 


217 


II 


7 


2 








20 



355 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing — 















FY: 




76 




77 


78 


76-78 
















Number: 




14 




4 


5 


23 










Time/Effort (days, pages, etc.) 


Distribution of Cases by Time/Effort Item 


N 




Item 


FY 

76 

77 

78 

76-78 


Avg 

1.3 
1.5 
1.8 


Min 


Max 


0-2 

14 
3 
5 

22 


3-9 


1 


1 


10-59 


60-199 20OHlays, etc. 







(cases) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearing: 
separate 
days per cose 


2 
3 
2 
3 










14 
4 
5 

23 




ALJ prehearing 

ond hearings 
hours per case 


76 

77 

78 

76-78 


2.6 
3.0 
1.8 
2.5 




10 
5 
4 

10 


10 
2 
4 

16 


3 
2 
1 
6 




1 




1 
















14 
4 
5 

23 




ALJ Travel: 
hours per case 


76 

77 

78 

76-78 


5.6 
3.3 
1.2 
4.2 








12 
7 
6 

12 


3 
2 
4 
9 


7 

2 

1 

10 




4 


4 
















14 
4 
5 

23 


Parties 


Petitioners, resprav- 
dents, interveners 
(including agency): 
number per cose 


76 

77 

78 

76-78 


2.1 
2.0 
2A 
2.1 


2 
2 
2 
2 


3 
2 
3 
3 


13 
4 
3 

20 


1 


2 
3 
























14 
4 
5 

23 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs): 
number per case 


76 

77 

78 

76-78 


3.4 
3.3 
2.0 
3.1 


1 






10 
6 
3 

10 


6 
2 
2 

10 


7 

2 

3 

12 




1 



1 
















14 
4 
5 

23 




Transcripts: 

pages per cose 


76 

77 

78 

76-78 


72.0 
23.5 

52.6 


19 






168 
47 

168 




1 


1 










2 
1 


3 




1 




1 








3 
2 


5 




Briefs: 

pcges per cose 


76 

77 

78 

76-78 


.6 
5.5 


1.3 








9 
14 


14 


13 
2 

5 
20 


1 
1 


2 





1 


1 
















14 
4 
5 

23 




Exhibite: 
pages per cose 


76 

77 

78 

76-78 


37.6 

13.0 

2.8 

26.4 


1 

6 




469 
17 

7 
469 


6 

2 
8 


6 
1 

3 
10 




1 

2 

3 










1 




1 


14 
3 
5 

22 




Contested 
motions: 
number per cose 


76 

77 

78 

76-78 


.9 

.3 

.6 








6 
1 


6 


13 
4 
5 

22 


1 




1 

























14 
4 
5 

23 


- 


Written opinions 
by ALJ: 
poges per cose 


76 

77 

78 

76-78 


9.3 

11.8 

6.6 

9.1 


5 
2 
2 
2 


20 
25 
12 
25 




1 
1 
2 


1! 

1 

3 
15 




3 
2 

1 
6 
















14 
4 
5 

23 



Procedures — 

The prehearing stage is very brief. Ordinarily the case is 
initiated when an investigation officer goes on board a ship to 
review the logbook. If the book discloses possible need for 
disciplinary action he may (during or after his investigation) 
prefer charges against the license holder. He may also take 
other action such as accept voluntary deposit or surrender of 
the license, give warnings, or recommend taking no action. 
The charges are preferred on a form provided for the purpose; 
the case is generally docketed immediately on the local ALJ's 
calendar and the respondent is given notice of the charges 
and the hearing date. This must all be done very quickly 
before the respondent's ship leaves the dock. Therefore the 
time between the date of the investigator's entry on the ship 
and the date of the notice to the respondent is usually a 
matter of hours. 

Each ALJ in the field maintains his own docket; the cases 
are only rarely assigned by the CALJ. 

The ALJ will often deliver an oral decision and hand the 
respondent a summary "short order". However, the hearing 



stage is not concluded until the complete decision is 
written. (Hearings may be conducted "in absentia" if the 
respondent fails to appear after being duly served.) The order 
is then served on the respondent. This may take a long time 
if he is out at sea "China-hopping". But once served he "has 30 
days to file a notice of appeal and 60 days to cornplete his 
appeal. (A special office called Merchant Vessel Personnel 
handles the appeal papers.) The Commandant has 60 days to 
review on his own motion. If the respondent cannot be 
located he is placed on the "Man-Wanted" list. 

In the review stage, the CALJ ordinarily makes a 
recommendation to the Chief Counsel of the Coast Guard 
who drafts final recommendations for the Commandant. The 
Commandant's decision is the final agency decision. 
However, Commandant decisions sustaining orders of 
revocation may be appealed to the National Transportation 
Safety Board. As of 1975, it was estimated that in the 
previous six years, the NTSB had heard 42 such appeals and 
reversed only twice. 



356 



Agency: U. S. COAST GUARD 

Case type: License Revocation and Suspension 
Conviction for Narcotics Violation 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: 24 26 15 65 



MANNER OF TERMINATION (number of cases) 
Not on Merits— 76 77 78 



76-78 



AGENCY REVIEW (number of cases) 



Settlement 
Withdrawal 
Dismissal 
Other 



2 
2 





3 

1 
1 




7 






12 

3 

1 




Review- 
Yes: 
No: 

Result- 




76 

6 
18 


77 

5 
21 


78 76-78 

! 12 
14 53 


On Merits— 

ALJ Hearing & Decision 20 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 


21 





8 




49 






Affirm 
Reverse 
Modify 
Remand/Other 


6 





4 


1 



1 






II 



1 




ELAPSFD TIME DATA 


Cose 
Breakdow 


n FY 

76 

77 

78 

76-78 


Elapsed Time (days) 
Avg Min Max 

2.0 17 
4.2 35 
4.7 23 
3.5 35 


Distribution 


of Cases by Elapsed Time (cases) 


N 


Stage of Case 


0-lmo l-4mo 


4-1 2mo 


l-2yr 







2yr+ 







(cases) 


Prehearing Dote of 

investigation / 
Referral to ALJ 


All 
Cases 


24 
25 
15 
64 



1 


1 








24 
26 
15 
65 


Hearing Referral to ALJ / 
ALJ's written 
decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


62.2 
46.7 
74.3 
57.5 


2 

10 
13 
2 


320 

211 
151 
320 


8 
10 

1 
19 


10 

10 

6 

26 


2 

1 
1 
4 














20 

21 

8 

49 




All 

Other 

Cases 


76 

77 

78 

76-78 


65.5 
10.4 
21.9 
29.2 


5 
3 




165 
17 
63 

165 


2 

5 

5 

12 


1 


2 
3 


1 




1 















4 

5 

7 

16 


Posthearing ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


200.7 
207.8 
331.0 
214.5 


118 
84 

331 
84 


299 
332 
331 
332 


. 








1 

1 


2 


5 

4 

1 

10 














6 

5 

1 

12 




All 

Other 

Cases 


76 

77 

78 

76-78 




















18 
21 
14 
53 


























18. 
21 
14 
53 


Total Time Date of 

investigation / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


233.3 
236.0 
344.0 
243.7 


126 
105 
344 
105 


390 
352 
344 
390 










1 



1 


5 

4 

1 

10 


1 




1 








6 

5 

1 

12 




All 

Other 

Coses 


76 

77 

78 

76-78 


75.4 
47.6 
57.4 
59.6 


7 
3 
1 
1 


337 
211 
152 
337 


5 

9 

4 

18 


10 

II 

9 
30 


3 

1 
1 
5 
















18 
21 
14 
53 



357 



TOME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing — 

FY: 76 77 78 76-78 

Number: Ik 25 13 62 



Time/Effort (days, poges, etc.) Distribution of Cases by Time/Effort Item 



N 





Item 


FY 

76 

77 

78 

76-78 


Avg 

1.6 
1.5 
2.4 
1.7 


Min 


Max 


0-2 

20 
22 
10 
52 


3-9 

4 

3 

3 

10 


10-59 


60-199 







2004days, etc. 







(cases) 


FVeheoring 

& Hearing 
Time 


ALJ prehearing 
and hearing: 
separate 
days peiT cose 


4 
4 
8 
8 








24 
25 
13 
62 




ALJ prehaoring 
and hearing: 
hours per cose 


76 

77 

78 

76-78 


2.4 
2.9 
3.7 
2.9 




6 
20 
15 
20 


16 

18 

7 

41 


8 

6 

5 

19 




1 
1 
2 














24 
25 
13 
62 




ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 


7.4 
3.4 
1.9 
4.7 








32 

21 
II 
32 


8 
16 
10 
34 


10 
4 
2 

16 


6 

5 

1 

12 














24 
25 
13 
62 


Parties 


Petitioners, respWD- 
dents, intervenors 
(including agency): 
number per case 


76 

77 

78 

76-78 


2.0 
2.0 
2.0 
2.0 


2 
2 
2 
2 


2 
2 
2 
2 


24 
25 
13 
62 



























24 
25 
13 
62 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs): 
number per case 


76 

77 

78 

76-78 


3.6 
3.9 
3,2 
3.6 


1 






9 
II 
10 
II 


10 

II 

7 

28 


14 

13 

5 

32 




1 
1 
2 














24 
25 
13 
62 




Transcripts: 
poges per case 


76 

77 

78 

76-78 


35.7 
29.2 
21.0 
31.8 


16 
18 
21 
21 


94 
50 
21 
94 














5 

5 

1 

II 


1 




1 








6 

5 

1 

12 




Briefs: 

poges per case 


76 

77 

78 

76-78 


1.6 
.2 
.4 
.8 








20 
6 
5 

20 


18 
24 
12 
54 


3 
1 

1 
5 


1 



1 














22 
25 
13 
60 




Exhibits: 
pages per cose 


76 

77 

78 

76-78 


5.2 
8.3 
5.5 
6.5 


1 






14 
43 
23 
43 


8 

8 

6 

22 


11 

II 

5 

27 


5 

6 

2 

13 















24 
25 
13 
62 




Contested 

motions: 
number per cose 


76 

77 

78 

76-78 


.5 
.2 
.1 
.3 








4 
3 

1 
4 


23 
24 
13 
60 


1 
1 


2 





















24 
25 
13 
62 




Written opinions 
by ALJ: 
pages per cose 


76 

77 

78 

76-78 


7.2 
6.3 
6.4 
6.7 


1 
1 

2 

1 


12 
15 
13 
15 


3 
4 
2 
9 


14 

17 

8 

39 


7 

4 

3 

14 














24 
25 
13 
62 



!: 



Procedures — 

The prehearing stage is very brief. Ordinarily the cose is 
initiated when an investigation officer goes on board a ship to 
review the logbook. If the book discloses possible need for 
disciplinary action he may (during or after his investigation) 
prefer charges against the license holder. He may also take 
other action such as accept voluntary deposit or surrender of 
the license, give warnings, or recommend taking no action. 
The charges ore preferred on a form provided for the purpose; 
the case is generally docketed immediately on the local ALJ's 
calendar and the respondent is given notice of the charges 
and the hearing date. This must all be done very quickly 
before the respondent's ship leaves the dock. Therefore the 
time between the date of the investigator's entry on the ship 
and the date of the notice to the respondent is usually a 
matter of hours. 

Each ALJ in the field maintains his own docket; the cases 
are only rarely assigned by the CALJ. 

The ALJ will often deliver an oral decision and hand the 
respondent a summary "short order". However, the hearing 



stage is not concluded until the complete decision is 
written. (Hearings may be conducted "in absentia" if the 
respondent fails to appear after being duly served.) The order 
is then served on the respondent. This may take a long time 
if he is out at sea "China-hopping". But once served he has 30 
days to file a notice of appeal and 60 days to coniplete his 
appeal. (A special office called Merchant Vessel Personnel 
handles the appeal papers.) The Commandant has 60 days to 
review on his own motion. If the respondent cannot be 
located he is placed on the "Man-Wanted" list. 

In the review stage, the CALJ ordinarily makes a 
recommendation to the Chief Counsel of the Coast Guard 
who drafts final recommendations for the Commandant. The 
Commandant's decision is the final agency decision. 
However, Commandant decisions sustaining orders of 
revocation may be appealed to the National Transportation 
Safety Board. As of 1975, it was estimated that in the 
previous six years, the NTSB hod heard 42 such appeals and 
reversed only twice. 



358 



Agency: U. S. COAST GUARD 

Case type: License Revocation and Suspension 
Multiple Charges 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Number: 4! 40 33 114 



MANNER OF TERMINATION (number of cases) 

Not on Merits— 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 















2 


2 





4 


1 


2 


3 


6 


4 


1 


1 


6 


34 


35 


29 


98 



























AGENCY REVIEW (number of cases) 
Review- 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



6 
35 



I 
39 



2 
31 



76-78 

9 
105 



ELAPSED TIME DATA 




























Case 




Elapsed Time 


(days) 


Distribution 


of Coses by Elapsed Time (coses) 


N 


Stage of Cos 


e 

Dote of 


Breokdow 


r> FY 
76 


Avg 

7.0 


Min 



Max 

66 


0-lmo 


-4mo 


4-l2mo 


l-2yr 




2yr+ 




(coses) 


Prehearing 


All 


39 


2 





41 




investigation / 


Cases 


77 


2.0 





II 


40 














40 




Referral to ALJ 




78 


3.1 





23 


33 














33 








76-78 


4.1 





66 


112 


2 











114 


Hearing 


Referral to ALJ / 


With ALJ 


76 


86.1 


7 


373 


12 


15 


6 


1 





34 




ALJ's written 


Hearing on 77 


73.0 


1 


248 


13 


13 


9 








35 




decision 


Merits 


78 


94.2 


12 


324 


8 


12 


9 








29 








76-78 


83.8 


1 


373 


33 


40 


24 


1 





98 






All 


76 


29.4 


6 


63 


4 


3 











7 






Other 


77 


94.4 


7 


280 


2 


2 


1 








5 






Coses 


78 


7.5 


6 


10 


4 














4 








76-78 


44.3 


6 


280 


10 


5 


1 








16 


Postheoring 


ALJ's decision / 


With 


76 


197.2 


17 


299 


1 





5 








6 




Final agency 


Agency 


77 


145.0 


145 


145 








1 








1 




action 


Review 


78 


388.0 


208 


568 








1 


1 





2 








76-78 


233.8 


17 


568 


1 





7 


1 





9 






All 


76 











35 














35 






Other 


77 











39 














39 






Cases 


78 











31 














31 








76-78 











105 














105 


Total Time 


Date of 


With 


76 


356.7 


82 


708 





1 


2 


3 





6 




investigation / 


Agency 


77 


153.0 


153 


153 








1 








1 




Final agency 


Review 


78 


672.0 


532 


812 











1 


1 


2 




action 




76-78 


404.1 


82 


812 





1 


3 


4 


1 


9 






All 


76 


70.3 


13 


253 


10 


20 


5 








35 






Other 


77 


79.4 


7 


280 


13 


16 


10 








39 






Cases 


78 


74.0 


6 


309 


10 


14 


7 








31 








76-78 


74.8 


6 


309 


33 


50 


22 








105 



359 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing — 

FY: 76 77 78 7&-78 

Number; 37 38 29 104 



Time/Effort (days, poges, etc.) 





Item 


FY 

76 

77 

78 

76-78 


Avg 

2.0 
1.8 
2.0 
1.9 


Min 


Max 


0-2 

28 
32 
21 
81 


3-9 

10 
6 
8 

24 


10-59 


60-199 







20O+days, etc. 







(coses) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 

and hearing; 
separate 
days per case 


6 
7 
8 
6 








38 

38 

29 

105 




ALJ preheoiring 
and heoringg 
hours per case 


76 

77 

78 

76-78 


5.7 
3.6 
4.6 
4,6 




27 
15 
20 
27 


16 
19 
13 
48 


15 
17 
14 
46 


7 

2 

2 

II 














38 

38 

29 

105 




ALJ Travels 
hours per cose 


76 

77 

78 

76-78 


3.9 
2.8 
3.7 

3.4 








24 
40 
20 
40 


21 
27 
18 
66 


12 
9 
6 

27 


3 

2 

5 

10 














36 

38 

29 

103 


Parties 


Petitioners, respon- 
dents, interveners 
(including agency)s 
number pair cose 


76 

77 

78 

76-78 


2.0 
2.0 
2.0 
2.0 


2 
2 
2 
2 


2 
3 
2 
3 


38 

37 

29 

104 



1 


1 




















38 

38 

29 

105 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs)s 
number fjer cose 


76 

77 

78 

76-78 


8.7 
4.2 
5.7 
6.2 








37 
18 
24 
37 


9 

18 
II 
38 


16 

IS 
13 
44 


11 
5 
5 

21 














36 

38 

29 

103 




Transcripts; 
pages p«r cose 


76 
77 
78 

76-78 


121,3 

18.0 

138,5 

111,4 


65 

18 

132 

18 


180 

IB 

145 

180 


















1 


1 


4 

2 
6 








4 

1 
2 

7 




Briefs; 

pages per case 


76 

77 

78 

76-78 


2,5 
1.8 
2,4 
2,2 








25 
14 
22 
25 


26 
28 
24 
78 


3 

7 

2 

12 


4 
3 
3 
10 














33 

38 

29 

100 




Exhibits: 
pages per cose 


76 

77 

78 

76-78 


24,6 
11.8 
10,7 
15,9 








23! 

131 

54 

23! 


7 
14 

9 
30 


12 
15 
13 
40 


14 

7 

7 

28 


2 
2 


4 


1 




1 


36 
38 
29 

103 




Contested 
motions; 
number per coise 


76 

77 

78 

76-78 


.6 
,9 
.8 
.8 








4 
17 

8 
17 


34 
36 
27 
97 


2 
1 

2 
5 



1 


1 














36 

38 

29 

103 




Written opinions 

by ALJ: 
pages per cose 


76 

77 

78 

76-78 


15,3 
10,0 
12,4 
12.6 


2 

1 

5 

I 


51 
26 
36 
51 


2 
2 


4 


II 
22 
14 

47 


25 
14 
15 
54 














38 

38 

29 

105 



Procedures — 

The prehearing stage is very brief. Ordinarily the case is 
initiated when an investigation officer goes on board a ship to 
review the logbook. If the book discloses possible need for 
disciplinary action he may (during or after his investigation) 
prefer charges against the license holder. He may also take 
other action such as accept voluntary deposit or surrender of 
the license, give warnings, or recommend taking no action. 
The charges are preferred on a form provided for the purpose; 
the case is generally docketed immediately on the local ALJ's 
calendar and the respondent is given notice of the charges 
and the hearing date. This must all be done very quickly 
before the respondent's ship leaves the dock. Therefore the 
time between the date of the investigator's entry on the ship 
and the date of the notice to the respondent is usually a 
matter of hours. 

Each ALJ in the field maintains his own dockets the cases 
are only rarely assigned by the CALJ, 

The ALJ will often deliver an oral decision and hand the 
respondent a summary "short order". However, the hearing 



stage is not concluded until the complete decision is 
written. (Hearings may be conducted "in absentia" if the 
respondent fails to appear after being duly served.) The order 
is then served on the respondent. This may take a long time 
if he is out at sea "China-hopping". But once served he has 30 
days to file a notice of appeal and 60 days to complete his 
appeal. (A special office called Merchant Vessel Personnel 
handles the appeal papers,) The Commandant has 60 days to 
review on his own motion. If the respondent cannot be 
located he is placed on the "Man-Wanted" list. 

In the review stage, the CALJ ordinarily makes a 
recommendation to the Chief Counsel of the Coast Guard 
who drafts final recommendations for the Commandant. The 
Commandant's decision is the final agency decision. 
However, Commandant decisions sustaining orders of 
revocation may be appealed to the National Transportation 
Safety Board, As of 1975, it was estimated that in the 
previous six years, the NTSB had heard 42 such appeals and 
reversed only twice. 



361 



U. S. INTERNATIONAL TRADE COMMISSION 



ANNUAL CASELOAD INVENTORY 

Fiscal Years I97&_I978 

(and FY 1975 from previous publication) 



Cose Type 



Cases New Coses Cases Cases 

Pending at Referred to Terminated Pending at 
FY Start of FY Office of ALJs by Agency End of FY 



Tariff Act 
Unfair Import Trade Proctices 

19 use 1337 
I9CFR2I0 

Proceedings to take evidence and hear arguments as to 
whether there has been a violation of section 337 of the Tariff 
Act, prohibiting unfair practices in import trade. 



KIOI 




~~ 


-- 




76 





II 


3 


8 


77 


8 


8 


9 


7 


78 


7 


2ii 


10 


21 



76-78 



43 



22 



362 



Agency: U.S. INTERNATIONAL TRADE COMMISSION 

Case type: Tariff Act 

Unfair. Import Trade Practices 



Case-Closed Cards Submitted — 

FY: 76 77 78 76-78 

Numben 3 9 10 22 



MANNER OF TERMINATION (number of cases) 

Not on Merits- 76 77 78 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76-78 



1 


1 


1 


3 

















4 


1 


5 

















3 


3 


6 














2 


1 


5 


8 



AGENCY REVIEW (number of cases) 
Review— 76 77 78 



Yes: 
No: 

Result- 
Affirm 
Reverse 
Modify 
Remand/Other 



76-78 

22 





21 
I 






ELAPSED TIME DATA 




























Cose 




Elapsed Time (days) 


Distribution of Cases by Elapsed Time (cases) 


N 


Stage of Cos 


e 
Complaint or 


Breakdowi 


1 n. 

76 


Avg 

861.7 


Min 

485 


Max 

1198 


0-lmo 


l-4mo 


4^l2mo 


l-2yr 

1 


2yr+ 
2 


(cases) 


Prehearing 


All 











3 




Commission's 


Cases 


77 


76.6 


35 


160 





8 


1 








9 




motion / Referral 




78 


45.7 


27 


99 


1 


9 











10 




To CALJ 




76-78 


169.6 


27 


1198 


1 


17 


1 


1 


2 


22 


Hearing 


Referral to CALJ / 


With ALJ 


76 































ALJ's 


Hearing on 77 


282.7 


262 


299 








3 








3 




recommended 


Merits 


78 


223.0 


141 


265 








3 








3 




decision 




76-78 


252.8 


141 


299 








6 








6 






All 


76 


62.3 


56 


75 





3 











3 






Other 


77 


236.0 


98 


431 





1 


4 


1 





6 






Cases 


78 


187.6 


136 


219 








7 








7 








76-78 


182.3 


56 


431 





4 


II 


1 





16 


Post hearing 


ALJ's decision / 


With 


76 


55.0 


37 


70 





3 











3 




Final agency 


Agency 


77 


80.2 


40 


142 





8 


1 








9 




action 


Review 


78 


80.0 


31 


146 





8 


2 








10 








76-78 


76.7 


31 


146 





19 


3 








22 






All 


76 





,_ 



























Other 


77 


— 






























Cases 


78 


.- 
































76-78 


- 


~ 


- 




















Total Time 


Complaint or 


With 


76 


979.0 


597 


1324 











1 


2 


3 




motion / Final 


Agency 


77 


408.3 


175 


560 








2 


7 





9 




agency action 


Review 


78 


323.9 


221 


464 








7 


3 





10 








76-78 


447.8 


175 


1324 








9 


II 


2 


22 






All 


76 

































Other 


77 


.- 





— 
























Coses 


78 


„ 





— 


























76-78 


~ 


— 


— 





















363 



TIME AND EFFORT AT THE HEARING STAGE 



Coses with full or partial hearing — 

FY: 76 77 78 76-78 

Number: 3 4 7 



Time/Effort (days, f>ages, etc.) Distribution of Coses by Time/Effort Item 





Item 


FY 

76 

77 

78 

76-78 


Avg 

7.0 
6.7 
6.8 


Min 

3 
2 
2 


Max 


0-2 




1 
1 


3-9 


2 

1 

3 


10-59 


60-199 







200+days, etc, 







(cases) 


Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearings 
separate 
days per cose 


II 
10 
11 




1 
1 

2 



3 
3 
6 




ALJ preiiearing 
and hearing: 
hours per cose 


76 

77 

78 

76-78 


54.7 
30.0 
44.8 


24 
12 
12 


90 
48 
90 















2 
2 
4 




1 



1 









3 
2 
5 




ALJ Travel: 
hours per cose 


76 

77 

78 

76-78 


















1 



1 



























1 


1 


Parties 


Petitioners, respon- 
dents, interveners 
(incliKiing agency): 
number per cose 


76 

77 

78 

76-78 


10.8 
26.3 
17.4 


3 

13 

3 


26 

36 
36 









3 

3 



1 

3 
4 















4 
3 

7 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs): 
number per cose 


76 

77 

78 

76-78 


200.0 
140.0 
142.0 
150.7 


200 
70 
14 
14 


200 
175 
270 
270 
















1 

1 



3 

3 


1 



1 

2 


1 

3 
2 
6 




Transcripts: 
pages per cose 


76 

77 

78 

76-78 


1293.7 
1670.0 
1387.8 


752 

1670 

752 


2224 
1670 
2224 



























3 

1 
4 



3 

1 
4 




Briefs: 

pages per cose 


76 

77 

78 

76-78 


80.0 
168.5 
160.0 
154.3 


80 
60 
43 
43 


80 
354 
300 
354 

















1 
1 


1 

2 

1 
4 



2 
1 
3 


1 

4 
3 
8 




Exhibits: 
pages per cose 


76 

77 

78 

76-78 


353.3 
248.3 
300.8 


60 
20 
20 


500 
500 
500 

















1 

1 



1 


1 



2 
2 

4 



3 
3 
6 




Contested 
motions: 
number per cose 


76 

77 

78 

76-78 


10.5 
30.0 
20.3 


1 

3 
1 


20 
57 
57 




1 



1 





1 
1 




1 
1 

2 















2 
2 

4 




Written opinions 
by ALJ: 
pages per cose 


76 

77 

78 

76-78 


16.5 
53.0 
38.7 
40.1 


II 
30 
16 
II 


22 
76 

51 
76 














2 
2 
3 

7 



2 

2 








2 
4 
3 
9 



Procedures — 

A proceeding begins either upon receipt of a properly filed 
complaint or upon the initiative of the Commission. An 
investigation is then instituted by the publication of a notice 
in the Federal Register defining the scope of the 
investigation. Hearings are subject to time limits running 
from the date of publication of the notice of investigation. 
The Commission may order a change in these limits. 



The presiding officer files the certified record and his 
recommendations with the Commission. The Commission 
makes a decision based on the record, recommendations, and 
any exceptions made by the parties. 

Appeal is to the US Court of Customs and Patent Appeals. 



365 



U. S. POSTAL SERVICE 



ANNUAL CASELOAD INVENTORY 

Fiscal Years 1976-1978 

(and FY 1975 from previous publication) 



Cose Type 



Cases f>Jew Coses Cases Cases 

Pending at Referred to Terminated Pending at 
FY Start of FY Office of ALJs by Agency End of FY 



False Representation 

39 use 3005 
39 CFR 952 

Proceedings to determine whether the respondent is 
obtaining money and property through the mails by means of 
false or fraudulent representation, and, if so, whether use of 
mails in connection with his specific enterprise should be 
denied. 



(75) 




108 


101 




76 


43 


173 


175 


41 


77 


41 


100 


128 


13 


78 


13 


ll€ 


87 


42 



76-78 



389 



390 



Second Class Mail Privileges 

39 use 3626 

supersedes 39 USC 4351-4356. 

39 CFR 954 

Proceedings to determine whether a publisher is eligible to 
obtain or retain second-class mailing privileges for his 
publication. Now applies ortly to applications filed by those 
operating under the former statutory scheme. New cases are 
subject to rate setting by the Postal Rote Commission. 



(75) 




50 


25 




76 


61 


68 


66 


63 


77 


63 


10 


68 


5 


78 


5 


10 


7 


8 



76-78 



88 



141 



Lockbox 

39 USC 401 
39 CFR 958 

Proceedings to challenge the refusal of the Postal Service to 
rent or renew post office boxes. 



(75) 

76 
77 
78 



76-78 



17 



16 



Mailability 

39 USC 3001 

39 CFR 953, P. S. Manual 123.3 

Proceedings to appeal the determination by a postmaster 
that mail matter is non-mailable. Some of these cases are 
presided over by a Judicial Officer and some by an ALJ. 



(75) 












76 





1 


1 





77 














78 





1 


1 






76-78 



Two miscellaneous cases were also closed in FY 1976—1978. 



366 



Agency: U. S. POSTAL SERVICE 
Case type; False Representation 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: 191 128 88 407 



MANNER OF TERMINATION (number of cases) ° 
Not on Merits— 76 77 



78 



76-78 



AGENCY REVIEW (number of cases) 



Notes— 

° See explanation in procedures. 



Settlement 


90 


33 


52 


175 




Review- 




76 


77 


78 76-78 


Withdrawal 

Dismissal 

Other 


39 

14 




43 
2 
8 


13 

1 



95 

17 

8 




Yes: 
No: 

Result- 




20 
171 


31 

97 


24 

64 


75 
332 


On Merits— 












Affirm 




14 


30 


22 


66 


ALJ Hearing & Decision 


48 


41 


22 


III 




Reverse 




2 

4 


1 







2 


3 

6 


ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 


1 







1 





pnoaiiy 
Remand/Other 


Fl APStD TIME DATA 


























Cose 




Elapsed Time (days) 


Distribution of Coses by Elapsed Time (cases) 


N 


Stage of Case 


Breakdowi 


n FY 
76 


Avg 

124.0 


Min 




Max 

1143 


0-lmo l-4mo 


4-l2mo 


l-2yr 

7 


2yr+ 

3 


(cases) 


Prehearing Complaint or start 


All 


33 


99 


49 


191 


of investigation / 


Coses 


77 


129.2 





735 


19 


57 


42 


8 


1 


127 


Referral to CALJ 




78 


128.4 


1 


1139 


17 


39 


28 


3 


1 


88 






76-78 


126.6 





1443 


69 


195 


119 


18 


5 


406 


Hearing Referral to CALJ / 


With ALJ 


76 


204.2 


45 


918 





19 


22 


6 


1 


48 


ALJ's decision 


Hearing on 77 


89.1 


35 


249 





35 


7 








42 




Merits 


78 


125.7 


53 


301 





10 


12 








22 






76-78 


145.6 


35 


918 





64 


41 


6 


1 


112 




All 


76 


102.2 


12 


764 


37 


76 


17 


12 


1 


143 




Other 


77 


54.7 


10 


339 


28 


51 


6 








85 




Coses 


78 


49.4 


13 


230 


20 


44 


2 








66 






76-78 


76.6 


10 


764 


85 


171 


25 


12 


1 


294 


Posthearing ALJ's decision / 


With 


76 


105.3 


32 


294 





14 


6 








20 


Final agency 


Agency 


77 


43.6 


6 


136 


15 


15 


1 








31 


action 


Review 


78 


67.5 


3 


412 


II 


8 


4 


1 





24 






76-78 


67.7 


3 


412 


26 


37 


11 


1 





75 




Ail 


76 


6.1 





47 


162 


9 











171 




Other 


77 


5.7 





88 


89 


7 











96 




Coses 


78 


1.9 





83 


63 


1 











64 






76-78 


5.2 





88 


314 


17 











331 


Total Time Complaint or start 


With 


76 


600.7 


237 


1673 








5 


10 


5 


20 


of investigation / 


Agency 


77 


224.4 


92 


435 





2 


27 


2 





31 


Final agency 


Review 


78 


279.5 


78 


769 





5 


12 


6 


1 


24 


action 




76-78 


342.4 


78 


1673 





7 


44 


18 


6 


75 




All 


76 


229.4 


15 


1311 


2 


46 


91 


28 


4 


171 




Other 


77 


205.1 


12 


784 


3 


32 


49 


II 


1 


96 




Cases 


78 


193.1 


22 


1190 


1 


23 


34 


5 


1 


64 






76-78 


215.3 


12 


1311 


6 


101 


174 


44 


6 


331 



367 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing- 















FY 




76 


77 


78 


76-78 
















Number 




49 


53 


24 


126 






Item 


FY 

76 

77 

78 

76-78 


Time/Effort (days, f 
Avg Min 

1.3 
1.2 1 
1.2 1 
1.2 


Kiges, etc.) 
Max 


Distribol 
0-2 

. 39 
21 
21 
81 


ion c 
3-9 

3 

1 

4 


f Cases 
10-59 


by Time/Effort Item 
60-199 2004days, etc. 







N 
(cases) 


Prehearing 
& Hearing 
Time 


ALJ prehecring 

ond hearing; 
separate 
days per case 


3 
2 
3 
3 








42 
21 
22 
85 




ALJ prehearing 
end hearing; 
hours per cose 


76 

77 

78 

76-78 


4.9 
3.2 
5.2 
4.3 


1 
1 

1 
1 


21 
16 
18 
21 


25 

28 

5 

58 


15 
15 
15 
45 


8 
2 
2 
12 
















48 

45 

22 

115 




ALJ TB-oveis 
hours per case 


76 

77 

78 

76-78 


10.8 

12.6 

8.5 

10.8 




3 



90 
54 
18 
90 


13 
4 


17 


5 

7 

11 

23 


16 

II 

8 

35 




1 




1 








35 
22 

19 
76 


Parties 


PetitionerSj respon- 
dents, intervenors 
(including agency): 
number per case 


76 

77 

78 

76-78 


1.9 
1.7 
2.0 
1.8 



1 

2 



2 
3 
2 
3 


48 
43 
22 

113 



2 

2 






















48 
45 
22 
115 


Paperwork 


Evidentiary docu- 
ments (excluding 
briefs)i 
number per case 


76 

77 

78 

76-78 


37.9 
5.9 
8,2 

22.5 




1 
1 




403 
51 
43 

403 


15 

10 

7 

32 


10 

4 

8 

22 


6 
2 
4 
12 




2 



2 


2 


2 


35 
16 
19 
70 




Tronscriptss 
poges per cose 


76 

77 

78 

76-78 


125.4 

71.6 

121.8 

103.7 


16 
5 

17 
5 


669 
379 
412 
669 










1 


1 


22 

28 

8 

58 




15 
12 
10 
37 


11 
4 
4 

19 


48 

45 

22 

115 




Briefs: 

pcges per cose 


76 

77 

78 

76-78 


37.5 
26.1 
47.0 
37.3 




14 



109 
62 
172 
172 


3 
1 


4 


4 
1 


5 


II 

7 

9 

27 




6 
1 

2 
9 








24 
10 

11 
45 




Exhibits! 

pages per cose 


76 

77 

78 

76-78 


63.0 
28.1 
87.8 
54.3 


1 

5 
1 
1 


423 
252 
618 
618 


3 


1 
4 


8 
15 

6 
29 


24 

26 

6 

56 




9 
2 

6 
17 


4 
1 
3 

8 


48 
44 
22 

114 




Contested 
motions: 
number per cose 


76 

77 

78 

76-78 


1.0 

1.3 
I.I 




1 



4 

2 

4 


12 

4 

16 


3 


3 






















15 

4 

19 




Written ojpinioiis 

by ALJ: 
pages per cose 


76 

77 

78 

76-78 


14.2 
10.9 
13.0 
12.7 


5 
5 
4 
4 


51 
22 
44 
22 









17 
21 

12 
50 


31 
22 
10 

63 

















48 
43 
22 

113 



Procedures — 

The case is initiated by the start of a preliminary 
investigation by the Inspection Service which may be pursuant 
to a complaint by a member of the public. At the end of the 
investigation, the inspector refers the case to the Consumer 
Protection Office within the Office of the General Counsel. 
The office then may file a formal complaint with the Judicial 
Officer's docket clerk. The clerk gives notice of an 
evidentiary proceeding and the respondent has 1 5 days to 
answer. 

Failure to file an answer results in a default and the ALJ 
issues on order certifying the case to the Judicial Officer who 
issues the final order in the case. Such cases are recorded as 
dismissals in these statistics. Settlements are quite common 
and usually occur in the prehearing stage but after 
assignment to the ALJ. The ALJ makes the final order in 



settlement cases. The ALJ may grant the respondent's 
motion to dismiss for lack of evidence. This is appealable. 

After the case is assigned to the ALJ, the respondent may 
waive the ALJ hearing and ask that the Judicial Officer make 
the decision without ALJ participation. The Judicial Officer 
may or may not hold a hearing. This Is known as an expedited 
hearing. Such cases are recorded in the "other" column under 
"Manner of Termination—Not on Merits" in these statistics. 

Assuming there is no default, settlement, or expedited 
hearing, the ALJ shall render the initial decision "with all due 
speed". Exceptions may be filed to an initial decision or a 
dismissal within 15 days. Appeal is to the Judicial Officer by 
delegation of the Postmaster General. 



368 



Agency: U. S. POSTAL SERVICE 

Cose type: Second Class Mail Privileges 



Case-Closed Cards Submitted— 

FY: 76 77 78 76-78 

Number: 68 68 7 143 



MANNER OF TERMINATION (number of cases) ° 

Not on Merits — 

Settlement 
Withdrawal 
Dismissal 
Other 

On Merits— 

ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76 


77 


78 


76-78 


H»jiziNV_ I r\izvic»Y vn 


jmuer o 


1 casesj 


















Review- 


76 


77 


78 


76-78 


7 
15 

1 


2 

19 
13 


1 
3 

1 


10 
37 
15 


Yes: 
No: 

Result- 
Affirm 


37 
31 

33 


12 

56 

12 


1 
6 

1 


50 
93 

46 


43 



33 

1 


1 


1 


77 

4 


Reverse 
Modify 


4 











4 



2 


Remand/Other 















Notes— 

° See explanation in procedures. 



ELAPSED TIME DATA 


























Case 




Elapsed Time (days) 


Distribution 


of Cases by Elapsed Time (cases) 


N 


Stage of Case 


Breakdowi 


1 FY 

76 


Avg 

255.4 


Min 

12 


Max 

1195 


0-lmo 


-4mo 


4-i2mo 


l-2yr 

8 


2yr+ 

7 


(cases) 


Prehearing Initiation of case / 


All 


12 


19 


22 


68 


Referral to CALJ 


Cases 


77 


196.3 


2 


1112 


22 


19 


15 


9 


3 


68 






78 


160.6 


3 


454 


2 


1 


3 


1 





7 






76-78 


222.7 


2 


1195 


36 


39 


40 


18 


10 


143 


Hearing Referral to CALJ / 


With ALJ 


76 


375.8 


34 


904 





8 


16 


10 


9 


43 


ALJ's decision 


Hearing on 77 


239.5 


96 


559 





4 


24 


5 





33 




Merits 


78 


237.0 


237 


237 





. 


1 








1 






76-78 


315.5 


34 


904 





12 


41 


15 


9 


77 




All 


76 


274.2 


17 


1132 


3 


7 


10 


2 


3 


25 




Other 


77 


191.2 


22 


390 


2 


10 


21 


2 





35 




Cases 


78 


162.3 


14 


595 


2 


2 


■ 1 


1 





6 






76-78 


220.0 


14 


1132 


7 


19 


32 


5 


3 


66 


Posthearing ALJ's decision / 


With 


76 


168.6 


27 


273 


1 


5 


31 








37 


Final agency 


Agency 


77 


120.3 


24 


306 


2 


4 


6 








12 


action 


Review 


78 


28.0 


28 


28 


1 














1 






76-78 


154.2 


24 


306 


4 


9 


37 








50 




All 


76 


15.5 





205 


27 


3 


1 








31 




Other 


77 


90.2 





482 


28 


14 


12 


2 





56 




Cnsps 


78 


17.3 





104 


5 


1 











6 






76-78 


60.6 





482 


60 


18 


13 


2 





93 


Total Time Initiation of case / 


With 


76 


863.4 


177 


1661 








4 


16 


17 


37 


Final agency 


Agency 


77 


688.7 


167 


1328 








3 


4 


5 


12 


action 


Review 


78 


373.0 


373 


373 











1 





1 






76-78 


811.7 


373 


1661 








7 


21 


22 


50 




All 


76 


488.9 


68 


1495 





2 


16 


7 


6 


31 




Other 


77 


467.3 


50 


1278 





7 


14 


25 


10 


56 




Cases 


78 


349.0 


17 


614 


1 





2 


3 





6 






76-78 


466.9 


17 


1495 


1 


9 


32 


35 


16 


93 



J 



369 



TIME AND EFFORT AT THE HEARING STAGE 



Cases with full or partial hearing — 

FY: 76 77 78 

Number: kl 39 2 



76-78 









Time/Effort ( 


days, pages, etc.) 


Distribution of Cases by Time; 


'Effort Item 


N 




Item 


FY 


Avg 


Min 


Max 


0-2 


3-9 


10-59 


60-199 


ZOO+doys, etc. 


(cases) 


PVeheoring 


ALJ prehearing 


76 


1.3 


1 


2 


41 














41 


& Hearing 


and hearing: 


77 


1.0 





2 


26 














26 


Time 


separate 


78 


1.0 


1 


1 


1 














1 




days per case 


76-78 


1.2 





2 


68 














68 




ALJ prehearing 


76 


5.3 


1 


12 


6 


37 


2 








45 




and hearing; 


77 


3.9 


1 


10 


15 


17 


2 








34 




hours per cose 


78 


7.0 


7 


7 





1 











1 






76-78 


4.7 


1 


12 


21 


55 


4 








80 




ALJ Travel: 


76 


6.3 





45 


19 


14 


10 








43 




hours per cose 


77 


11.5 





72 


6 


6 


14 


1 





27 






78 


7.0 


7 


7 





1 











1 






76-78 


8.3 





72 


25 


21 


24 


1 





71 


Parties 


Petitio7*srs, respon- 


76 


2.0 


2 


4 


44 


1 











45 




dents, interveners 


77 


2.0 


2 


2 


36 














36 




(including agency): 


78 


2.0 


2 


2 


2 














2 

83 




number per case 


76-78 


2.0 


2 


4 


82 


1 











Paperwork 


Evidentiary docu- 


76 


13.7 





82 


7 


19 


14 


1 





41 

18 

2 




ments (excluding 


77 


lO.I 


2 


53 


1 


12 


5 










briefs): 


78 


39.0 


3 


75 





1 





1 







number per case 


76-78 


13.4 





82 


8 


32 


19 


2 





61 




Transcripts: 
pages per case 


76 
77 
78 


120.1 
82.6 
44.0 


26 
24 
44 


329 
216 

44 












5 
12 

1 


31 

21 




9 

1 




45 
34 

1 






7^78 


103.2 


24 


329 








18 


52 


10 


80 




Briefs: 


76 


51,9 





138 


10 


1 


14 


15 





40 




pages per cose 


77 
78 


34.1 
9.5 


4 
8 


143 
II 






3 

1 


23 

1 


3 








29 
2 






76-78 


43.5 





143 


10 


5 


38 


18 





71 




Exhibits: 
pages per cose 


76 
77 
78 


1410.6 

1555.1 

285.0 


17 

6 

156 


8500 

10000 

414 









1 



9 

7 



3 

1 
1 


33 
24 

1 


45 

33 

2 

80 






76-78 


1442.1 


6 


10000 





1 


16 


5 


58 




Contested 
motions: 


76 
77 



1.2 






1 
3 


36 

4 





1 



















36 
5 





number per cose 


78 
76-78 


.2 





3 


40 


1 











41 




Written opinions 
by ALJ: 

pages per cose 


76 
77 

78 
76-78 


17.5 
19.5 
11.5 
18.2 


4 

6 

11 

4 


50 
87 
12 
87 








5 

4 

9 


38 

28 

2 

68 



2 

2 








43 

34 

2 

79 



Pr<K:edures — 

These cases are either application-denial cases or 
revocation/suspension cases. In application cases, the cose is 
initiated by the filing of an application *or?econd-class 
mailing privileges. The Director of. the Office of Mail 
Classifications may deny such application and issue a notice 
of denial with a letter of reasons t°.^he.°PPl'5°"Ln o 
revocation/suspension cases, the case is im^'^'te" ,^'?^r'. ° 
postal inspector or competitor brmgs the °PP°rent violation 
to the Office's attention. The Director may then send o 
letter to the publisher containing the notice of proposed 
revocation or suspension. 



In either situation the publisher (petitioner) has 15 days to 
appeal, at which point the docket clerk issues notice of 
hearing. If the publisher fails to appear at the hearing, the 
ALJ may dismiss the petition outright or give the petitioner 
30 days to show cause why a dismissal should not be ordered. 

Assuming there is no default, settlement, or expedited 
hearinrthe ALJ shall render the Initial decision "with all due 
speed"?' Exceptions may be filed to on Initial d^^'O" °/ ° 
dismissal within 15 days. Appeal is to the Judicial Officer by 
delegation of the Postmaster General. 



370 



Agency: U.S. POSTAL SERVICE 
Case type: Lockbox 



Case-Closed Cords Submitted— 

FY: 76 77 78 76-78 

Number: 10 2 3 15 



MANNER OF TERMINATION (number of cases) 
Not on Merits— 76 77 78 



76-78 



AGENCY REVIEW (number of cases) 



Settlement 
Withdrawal 
Dismissal 
Other 



2 
3 



1 
1 







1 

2 



1 

4 
5 





Review- 
Yes: 
No: 

Result- 




76 


10 


77 


2 


78 


3 


76-78 


15 


On Merits— 

ALJ Hearing & Decision 5 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 












5 






Affirm 
Reverse 
Modify 
Remand/Other 



























ELAPSED TIME DATA 
























Stage of Case 


Case 
Breakdow 


n FY 

76 

77 

78 

76-78 


Elarsed Time (days) 
Avg Min Max 

24.8 6 42 
96.0 5 187 
32.3 1 60 
35.8 1 187 


Distribution of Cases by Elap 
0-lmo l-4mo 4-l2mo 


sed Time (case 
l-2yr 2yr+ 







s) N 
(cases) 


Prehearing Complaint / 

Referral to CALJ 


All 
Cases 


7 
1 
1 
9 


3 

2 

5 




1 



1 


10 
2 
3 

15 


Hearing Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 


62.0 
62.0 


24 
24 


173 
I7I 


1 




1 


3 


3 


1 




1 














5 


5 




All 

Other 

Coses 


76 

77 

78 

76-78 


31.4 
17.0 
23.3 
26.1 


12 
17 
19 
12 


89 
17 
28 
89 


4 
2 
3 
9 


1 




1 




















5 

2 

3 

10 


Postheoring ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 


~ 


~ 


■~~ 










































All 

Other 

Coses 


76 

77 

78 

76-78 


27.9 



18.6 








63 



63 


6 

2 

3 

II 


4 



4 




















10 
2 
3 

15 


Total Time Complaint / Final 
agency action 


With 

Agency 

Review 


76 

77 

78 

76-78 


~ 


I 


- 








































All 

Other 

Cases 


76 

77 

78 

76-78 


99.4 

113.0 

55,7 

92.5 


41 
22 
20 
20 


217 

204 

88 

217 




1 
1 
2 


6 

2 
8 


4 

1 


5 
















10 
2 
3 

15 






371 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



FY 



Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearing: 
separate 
days per cose 


76 

77 

78 

76-78 




ALJ prehearing 
oind hearingi 
hours per case 


76 

77 

78 

76-78 




ALJ Travels 
hours per cose 


76 

77 

78 

76-78 



Parties Petitioners, respon- 76 

dents, interveners 77 

(including agency): 78 

number per case 76-78 

PajjerwtM-k Evidentiary docu- 76 

nr»ents (excluding 77 

briefs): 78 

number per case 76-78 



Transcripts: 
pages per case 



Briefs: 

pages per cose 



Exhibits: 
pages per case 



76 

77 

78 

76-78 

76 

77 

78 

76-78 

76 

77 

78 

76-78 



Contested 76 

motions: 77 

number per case 78 

76-78 



Written opinions 
by ALJ: 
pages per case 



76 

77 

78 

76-78 



Time/Effort (days, poges, etc.) 
Avg Min Max 



1.0 



10.3 



10.3 



I 



1.0 


1 


1 


2.3 


2 


3 


2.3 


2 


3 


9.0 





27 


9.0 





27 


2.0 


2 


2 


2.0 


2 


2 




















32.3 


18 


Ih 


32.3 


18 


74 


7.0 





21 


7.0 





21 


327.0 





981 


327.0 





981 













14 



Coses with full or partial hearing — 

FY: 76 77 78 76-78 

Number: 5 5 



Distrib 


ution of Coses 


by Time 


/Effort Item 


N 


0-2 


3-9 


10-59 


60-199 


200«lays, etc. 


(cases) 


3 














3 






































3 














3 


3 


1 











4 






































3 


1 











4 


2 





1 








3 






































2 





1 








3 


h 














4 






































4 














4 


2 














2 






































2 














2 








3 


1 





4 












































3 


1 





4 


2 





1 








3 






































2 





1 








3 


2 











1 


3 






































2 











1 


3 


2 














2 






































2 














2 





3 


1 








4 









































3 


1 








4 



Procedures — 

Any person may appeal the refusal to rent or renew Post 
Office boxes by filing a written complaint within 20 days. 
The matter will be set for hearing within 30 days of the 
appeal and the appellant will be notified of the date. Oral 
hearing may be waived at the election of both parties. 



The ALJ will render an initial decision which will become 
the final agency decision if an appeal is not taken. 
Exceptions niay be filed in a brief on appeal to the Judicial 
Officer within five days. Five days are allowed for reply 
briefs. 



372 



Agency: U. S. POSTAL SERVICE 
Cose type: Mallabllity 



MANNER OF TERMINATION (number of cases) 



Not on Merits — 

Settlement 
Withdrawal 
Dismissal 
Other 



On Merits— 



ALJ Hearing & Decision 
ALJ Hearing w/o Decision 
ALJ Decision w/o Hearing 



76 



77 





















1 













































78 76-78 






Case-Closed Cords Submitted — 

FY: 76 77 78 76-78 

Number: 10 I 



AGENCY REVIEW (number of coses) 



Review- 


76 


77 


78 


76-78 


Yes: 
No: 




1 













1 


Result- 










Affirm 
Reverse 
Modify 
Remand/Other 




























ELAPSED TIME DATA 



Stage of Case 


Case 
Breakdown FY 


Prehearing 


Notice of appeal / 
Referral to CALJ 


All 
Cases 


76 

77 

78 

76-78 


Hearing 


Referral to CALJ / 
ALJ's decision 


With ALJ 76 

Hearing on 77 

Merits 78 

76-78 






All 

Other 

Cases 


76 

77 

78 

76-78 


Post hearing 


ALJ's decision / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 






All 

Other 

Coses 


76 

77 

78 

76-78 


Total Time 


Notice of appeal / 
Final agency 
action 


With 

Agency 

Review 


76 

77 

78 

76-78 






All 

Other 

Cases 


76 

77 

78 

7&-78 



Ela[>sed Time (days) 
Avg Min Max 



15.0 15 15 
15.0 15 15 



16.0 16 16 
16.0 16 16 








31.0 31 31 
31.0 31 31 



Distributic 


>n of Co: 


ies by Elai 


psed Tir 


ne (cases) 


N 


tt-lmo 


l-4mo 


'l-l2mo 


l-2yr 


2yr+ 


(coses) 


1 














1 






































1 














1 










































































1 














1 






































1 














1 










































































1 














1 






































1 














1 













































































1 











1 









































1 











1 



373 



TIME AND EFFORT AT THE HEARING STAGE 



Item 



FY 



Prehearing 
& Hearing 
Time 


ALJ prehearing 
and hearing: 
separorte 
days per case 


76 
77 
78 

76-78 






ALJ prehearing 
and hearing: 
hours per case 


76 

77 

78 

76-78 






ALJ Travel: 
hours per case 


76 

77 

78 

76-78 



Parties Petitioners, respon- 76 

dents, interveners 77 

(including agency): 78 

number per cose 76-78 



Paperwork Evidentiary docu- 
ments (excluding 
briefs)s 


76 
77 
78 


number per cose 


76-78 


Transcripts: 


76 


pages per cose 


77 
78 




76-78 


Briefs: 


76 


pages per cose 


77 
78 




76-78 


Exhibits: 


76 


pages per cose 


77 
78 




76-78 


Contested 


76 


motions: 


77 


number per case 


78 




76-78 


Written opinions 
by ALJ: 


76 
77 


pages per case 


78 
76-78 



Time/Effort (days, pages, etc.) 
Avg Min Max 



Cases with full or partial hearing — 

FY: 76 77 78 76-78 

Number: 

Distribwtion of Cases by Time/Effort Item 



0-2 


3-9 


10-59 


60-199 


200+days, etc. 


(cases) 











































































































































































































































































































































































































































































































































































































' 







































































































































Procedures — 

Any person may appeal a determination of non-mai lability 
by filing a written notice of appeal within 20 days. An oral 
hearing will be scheduled only if requested in the notice of 
appeal. If so requested, the matter will be set for hearing 
within 30 days of the appeal and the appellant will be notified 
of the date. 



The ALJ will render an initial decision which will become 
the final agency decision if an appeal is not taken. 
Exceptions may be filed in a brief on appeal to the Judicial 
Officer within five days. Five days are allowed for reply 
briefs. 



ii